Current Headlines
May 3, 2021
NASAA’s Electronic Filing Depository Expands to Franchise Filings
NASAA announced today that its Electronic Filing Depository (EFD) System will expand to accept franchise filings through its new Franchise Electronic Depository functionality (FRED). FRED will significantly increase the information and review tools available to filers and regulators.
April 21, 2021
NASAA Releases Annual Report on State-Registered Investment Advisers
The report highlights the important regulatory policy work, education and training, and coordination efforts of NASAA’s Investment Adviser Section Committee and its Project Groups.
March 8, 2021
NASAA’s Legislative Agenda Calls for Congress to Prioritize Investor Protection
NASAA's legislative agenda for the 117th Congress advocates for policymaking designed to protect and empower retail investors and ensure the preeminence of our nation’s public securities and financial markets.
March 3, 2021
NASAA Announces Top Investor Threats for 2021
NASAA today reminded investors to be on the lookout for investment schemes pitched through the internet and social media, particularly those involving precious metals, cryptocurrencies, promissory notes and foreign exchange markets.
February 4, 2021
NASAA Announces State Enforcement Actions Against GPB Capital Holdings for Allegedly Defrauding Investors in $1.8 Billion Private Offering Scheme
NASAA announced that seven state securities agencies have filed regulatory actions against New York-based investment adviser GPB Capital Holdings, LLC (“GPB”) and others for their alleged involvement in a $1.8 billion securities fraud scheme that has affected approximately 17,000 investors across the United States.
January 29, 2021
NASAA Reminds Regulated Firms of Customer Obligations and Investors About Risks of Stock Price Volatility
NASAA today called on firms and other regulated entities to ensure that investor protection obligations are being met during recent price volatility in shares of certain publicly traded companies.
January 22, 2021
Investor Protection Advocates Urge Biden Administration Not to Weaken Securities Laws
Investor protection advocates including state securities regulators, legal scholars and investor and consumer advocacy organizations urged the Biden Administration not to weaken securities laws through the further expansion and deregulation of the private offering marketplace.
January 19, 2021
NASAA Statement on Nomination of Gary Gensler as SEC Chair
Hopkins: "The nomination of an experienced former regulator with the accomplished track record of Gary Gensler to lead the SEC signals that the Biden Administration expects the agency to hold those who harm investors accountable for their wrongdoing and to pursue a regulatory agenda that prioritizes investor protection and is supported by vigorous examination and enforcement efforts."
January 7, 2021
