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March 21, 2023

NASAA Welcomes New Members To Its Seniors Advisory Committee

NASAA today announced that eight new members have joined the Advisory Committee to the NASAA Senior Issues Committee.
March 8, 2023

NASAA Announces Passing Scores Associated with New Exam Test Specifications

NASAA announced today a planned change to the passing score for its Series 65 examination and updates to the content for the Series 63, Series 65, and Series 66 examinations.
February 7, 2023

Investor Alert: Self-Directed IRAs and the Risk of Fraud

NASAA and its partners are issuing this Investor Alert to warn investors of risks associated with self-directed Individual Retirement Accounts (self-directed IRAs).
January 19, 2023

NASAA and SEC Announce $45 Million Settlement with Nexo Capital Over Interest-Bearing Accounts

NASAA and the U.S. Securities Exchange Commission (SEC) today jointly announced that a settlement in principle has been reached with Nexo Capital, Inc. (Nexo).
January 19, 2023

Fred Baldassaro Named NASAA Director of Communications

NASAA today announced that Fred Baldassaro has been named the director of communications. In this role, Baldassaro will develop, manage, and lead the internal and external communications functions of the organization.
January 6, 2023

NASAA Releases Federal Policy Agenda for the 118th Congress

NASAA today released its federal policy agenda for the 118th Congress, advocating for policy solutions that protect investors of all ages and backgrounds, promote responsible capital formation, and support inclusion and innovation in U.S. capital markets. NASAA will provide an overview of the agenda in a webinar on Thursday, January 12, 2023, at 1:30 p.m. ET.
October 3, 2022

NASAA Announces Speakers and Agenda for November 3 “NASAA’S Senior Issues and Diminished Capacity Committee Presents” Webcast

NASAA today announced the speakers and agenda for NASAA’s next “Senior Issues and Diminished Capacity Committee Presents” webcast. The webcast, scheduled for November 3, from 2:30 – 4:00 p.m. ET, is complimentary and open to the public.
October 3, 2022

NASAA Bulletin: Investor Resilience – World Investor Week 2022

For World Investor Week 2022, NASAA and its partners offer five tips to increase your resilience as an investor.
September 28, 2022

NASAA 2023 Fee Announcement

NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees in 2023 for state-registered investment adviser firms, and the continuation of the initial set-up and annual system fees paid by investment adviser representatives.
September 21, 2022

North American Securities Administrators Association Announces 2022 Fall Award Recipients

NASAA announced 2022 award recipients during its Fall Annual Meeting held in Nashville, September 18-20. Awardees were recognized for their outstanding contributions to investor protection and state securities regulation.

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