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Topic
Year
August 9, 2022

NASAA Cautions Investors On The Rise Of The “Finfluencer”

NASAA's latest Informed Investor Advisory recommends investors use caution when considering advice from social media financial influencers, or “finfluencers.”
August 4, 2022

NASAA Extends Comment Period on Proposed Revisions to Statement of Policy Regarding Real Estate Investment Trusts

NASAA’s Corporation Finance Section Committee has granted a 30-day extension to the public comment period for the Notice Requesting Public Comment on Proposed Revisions to NASAA Statement of Policy Regarding Real Estate Investment Trusts. The public comment deadline for all commenters is now Monday, September 12, 2022.
July 28, 2022

NASAA President to Testify Before U.S. Senate Committee on Banking, Housing, and Urban Affairs

NASAA President and Maryland Securities Commissioner Melanie Senter Lubin will testify during a hearing to be held at 10:00 a.m. ET on July 28. 2022 by the U.S. Senate Committee on Banking, Housing, and Urban Affairs to discuss scams and risks to investors in the crypto and securities markets.
July 25, 2022

NASAA Panel to Participate in National Whistleblower Day Event

A group of state securities regulators representing NASAA will participate in a live, virtual conference hosted by the National Whistleblower Center on Thursday, July 28, 2022 at 3:30 p.m. ET to commemorate National Whistleblower Day.
July 12, 2022

NASAA Seeks Public Comment on Proposed Revisions to NASAA Statement of Policy Regarding Real Estate Investment Trusts

NASAA released a statement from Melanie Senter Lubin, NASAA President and Maryland Securities Commissioner, on the confirmations by the U.S. Senate of Mark Uyeda and Jaime Lizárraga to serve on the U.S. Securities and Exchange Commission.
June 16, 2022

NASAA Statement on Confirmations of Mark Uyeda and Jaime Lizárraga to Serve on the U.S. Securities and Exchange Commission

NASAA released a statement from Melanie Senter Lubin, NASAA President and Maryland Securities Commissioner, on the confirmations by the U.S. Senate of Mark Uyeda and Jaime Lizárraga to serve on the U.S. Securities and Exchange Commission.
June 15, 2022

NASAA Recognizes World Elder Abuse Awareness Day and Offers New Power of Attorney Resources

In recognition of World Elder Abuse Awareness Day, NASAA today released two new publications developed by NASAA’s Senior Issues and Diminished Capacity Committee that are aimed at raising awareness about the use of a power of attorney in managing one’s financial affairs.
May 20, 2022

NASAA Members Adopt Model Rule Addressing Unpaid Customer Arbitration Awards and Judgments

NASAA announced that its membership has voted to approve a model rule that addresses the failure of regulated firms and persons to pay final awards and judgments to customers as well as the failure to pay fines and other monetary penalties imposed by regulators.
May 18, 2022

North American Securities Administrators Association Announces 2022 Spring Award Recipients

NASAA announced award recipients during its Spring Meeting in Washington, D.C., May 14-17.
April 25, 2022

NASAA, SEC to Jointly Host First Older Investor Roundtable Focused on Emerging Issues and Protection Challenges

The North American Securities Administrators Association (NASAA) and the Securities and Exchange Commission (SEC) will jointly host the first Older Investor Roundtable featuring AARP. The Thursday, April 28 event will be live cast at 10:00 a.m. (ET) to the public on sec.gov.