Current Headlines
September 5, 2018
NASAA Statement on Confirmation of Elad Roisman to Serve on the U.S. Securities and Exchange Commission
September 5, 2018: Borg: “On behalf of state and provincial securities regulators, I am pleased to congratulate Elad Roisman on his confirmation to serve on the SEC. We look forward to working with Commissioner Roisman, his fellow Commissioners Stein, Jackson and Peirce, and Chairman Clayton on our shared goal of protecting retail investors and the integrity of the securities markets they depend upon to secure their financial futures.”
August 28, 2018
NASAA Updates Coordinated Crypto Crackdown
August 28, 2018:Borg: “State and provincial securities regulators are committing significant regulatory resources to protect investors from financial harm involving fraudulent ICOs and cryptocurrency-related investment products and also are raising awareness among industry participants of their regulatory responsibilities.”
August 27, 2018
NASAA Comments on SEC’s Regulation Best Interest and Related Rule Proposals
August 27, 2018: NASAA comment letter expresses support for the SEC's work to raise the standard of care for broker-dealers and encourages the agency to make significant revisions to its April 18 Regulation Best Interest and related proposals (Reg BI) before adopting them in order to best serve the interests of investors.
July 26, 2018
State and Provincial Securities Regulators to Convene in Alaska for NASAA Annual Meeting
July 25, 2018: Borg: “Our program for this year’s meeting launches NASAA’s centennial celebration with a cohesive look ahead at the changes and challenges on the horizon for today’s investors, the securities industry and its regulators."
June 15, 2018
NASAA Recognizes World Elder Abuse Awareness Day
June 15, 2018: Warns of Danger Signs of Suspected Abuse by Guardians
June 13, 2018
NASAA Urges Congress to Reject the “Securities Fraud Act”
June 13, 2018:Borg: "Real people will suffer as a result of this misguided and irresponsible legislation.”
May 25, 2018
NASAA Statement Regarding the Signing into Law of “The Senior Safe Act”
May 25, 2018:Borg: “The Senior Safe Act is a significant step forward in the ongoing fight against senior financial exploitation."
May 21, 2018
CFTC, NASAA Sign Agreement for Greater Information Sharing Between Federal Commodities and State Securities Regulators
May 21, 2018: Borg: “State securities regulators look forward to strengthening our bond with the CFTC to enhance investor protection and prevent fraud.”
May 21, 2018
State and Provincial Securities Regulators Conduct Coordinated International Crypto Crackdown
May 21, 2018:Borg: “The actions announced today are just the tip of the iceberg."
May 10, 2018
