September 11, 2019 “NASAA is concerned that our current regulatory regime has gone too far in favoring private capital raising over public markets,” testified Michael Pieciak, immediate past president of NASAA and Vermont’s Commissioner of Financial Regulation.
September 10, 2019 Gerold: "This report shows that NASAA members are on the frontlines of investor protection."
September 10, 2019 New Jersey Securities Bureau Chief Christopher W. Gerold today began a one-year term after having been elected the 102st president of the North American Securities Administrators Association.
September 8, 2019 State securities regulators are concerned that deficiencies related to cybersecurity are rising among state-regulated investment advisers.
August 7, 2019 State and provincial securities regulators are seeing an uptick this year in solicitations in potential crypto-related frauds.
July 31, 2019 NASAA releases report on broker-dealer sales practices for non-traditional Exchange Traded Funds (ETFs), such as leveraged and inverse ETFs, which can present greater risks to investors than do traditional ETFs due to their complexity.
July 30, 2019 “Our new website is designed with the user in mind,” said Michael S. Pieciak, NASAA President and Vermont Commissioner of Financial Regulation. “The new website highlights the tremendous investor protection resources available from state and provincial securities regulators as well as the work of NASAA in advocating for the protection of Main Street investors and responsible capital formation.”
July 22, 2019 NASAA today issued an investor advisory raising awareness of the risks associated with investments in opportunity zones, economically distressed communities where new investments, under certain conditions, may be eligible for preferential tax treatment as part of the 2017 Tax Cuts and Jobs Act.
July 22, 2019
July 15, 2019 Download: Opportunity Zones NASAA-SEC Staff Statement Washington, D.C., July 15, 2019 – The North American Securities Administrators Association (NASAA) and the U.S. Securities and Exchange Commission (SEC) have issued a summary that explains the application of the federal and state securities laws to opportunity zone investments.