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Current Headlines

April 19, 2023

NASAA Urges Congress to Prioritize Capital Formation Policies that Protect Investors and Preserve State Authority

NASAA Past President and Maryland Securities Commissioner Melanie Senter Lubin is testifying on Capitol Hill today. She is speaking before the House Financial Services Subcommittee on Capital Markets. Commissioner Lubin will explain the vital role played by state securities regulators in capital formation and describe why Congress’s capital formation agenda would fail to achieve its goals.
April 19, 2023

NASAA Members to Champion Investor Protection on Capitol Hill

NASAA will host its annual “Hill Day” on April 19. State securities regulators will conduct face-to-face meetings with elected officials and their staff, educating them about NASAA, state securities regulators, and their jurisdictions’ work to protect investors and support inclusion and innovation in our capital markets.
April 17, 2023

NASAA Members Admit Guam as a Member and Approve Two Regulatory Proposals

NASAA announced that at a membership meeting today, NASAA members voted to admit Guam’s securities regulator to the association and approved two regulatory proposals.
April 6, 2023

State Securities Regulators Announce $10 Million Settlement with Robinhood for Failing Investors

NASAA today said Robinhood Financial LLC will pay up to $10.2 million in penalties for operational and technical failures that harmed main street investors.
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.

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