Current Headlines
April 10, 2025
NASAA Statement on Confirmation of Paul Atkins as SEC Chairman
The following is a statement from Leslie Van Buskirk, President of the North American Securities Administrators Association (NASAA), on the confirmation of Paul Atkins to serve as Chairman of the U.S. Securities and Exchange Commission.
April 7, 2025
NASAA Members Approve Amendments for Model Rule
NASAA announced today that members have voted to adopt proposed amendments to NASAA’s Dishonest or Unethical Business Practices of Broker-Dealers and Agents model rule (Conduct Rule).
March 25, 2025
NASAA Requests Public Comment on Proposed Amendments to REIT Guidelines
NASAA is requesting public comment on proposed amendments to its Statement of Policy Regarding Real Estate Investment Trusts (REIT Guidelines). Comments are due on or before May 28, 2025.
March 25, 2025
NASAA Urges Congress to Prioritize Capital Formation Policies That Protect Investors
NASAA today announced that Amanda Senn, Director of the Alabama Securities Commission and NASAA Enforcement Section Co-Chair, will testify before the U.S. House Financial Services Committee on Tuesday, March 25, 2025.
March 17, 2025
NASAA Announces 2025 Public Policy Symposium
Registration is now open for the 2025 NASAA Public Policy Symposium. This event will bring together industry experts, policymakers, and thought leaders to discuss the most pressing issues in securities regulation. This year’s theme of “Protecting Investors in Tokenized Securities Markets” promises to spur interesting discussions on this timely topic. The Symposium is scheduled for April 8, 2025, at the Mayflower Hotel in Washington, D.C.
March 6, 2025
NASAA Highlights Top Investor Threats for 2025
NASAA today released its annual list of top threats to retail investors. This year, the most critical threats include financial scams tied to digital assets and cryptocurrency, social media apps, and marketing tactics designed to play on emotions. NASAA developed the list by surveying state and provincial securities regulators in the United States and Canada.
January 17, 2025
NASAA Announces $106 Million Multi-State Settlement with Vanguard
NASAA today announced that a taskforce of state securities regulators and the United States Securities and Exchange Commission (SEC) has reached a $106 million settlement with Vanguard Marketing Corporation and The Vanguard Group, Inc (Vanguard) for failing to supervise certain registered persons and failing to disclose potential tax consequences to investors following a change in investment minimums for certain target date retirement funds.
January 8, 2025
NASAA Announces $17 Million Multi-State Enforcement Settlement with Edward Jones
NASAA has announced a $17 million settlement with Edward D. Jones & Co., L.P. (Edward Jones) resulting from an investigation into the broker-dealer’s supervision of customers paying front-load commissions for Class A mutual fund shares in light of later moving brokerage account assets into fee-based investment advisory accounts.
January 3, 2025
NASAA announces important updates to the Electronic Filing Depository (“EFD”) and guidance for filings submitted on December 31, 2024.
The following is a statement from Leslie Van Buskirk, President of the North American Securities Administrators Association (NASAA), on the announced departures of SEC Chair Gary Gensler and SEC Commissioner Jaime Lizárraga.
November 25, 2024
