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September 8, 2021

NASAA Fall Annual Meeting to Examine Emerging Trends in Financial Regulation

Securities regulators, financial industry leaders and investor advocates throughout North America will convene in Chicago, Illinois, September 19-21 for the North American Securities Administrators Association’s (NASAA) 2021 Fall Annual Meeting.
August 12, 2021

North American Securities Administrators Association Announces Results of 2021-2022 Board Elections

Melanie Senter Lubin, Maryland’s Securities Commissioner, was elected to a one-year term as president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation.
July 29, 2021

NASAA Participates in National Whistleblower Day Event

The North American Securities Administrators Association (NASAA) will participate in the National Whistleblower Center’s celebration commemorating the valuable contributions of whistleblowers to the securities industry.
June 15, 2021

NASAA, SEC and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention, and Reporting of Financial Exploitation of Seniors

In recognition of World Elder Abuse Awareness Day, the North American Securities Administrators Association (NASAA), the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced a new resource intended to assist securities firms in implementing the training requirements of the Senior Safe Act.
June 15, 2021

NASAA Recognizes World Elder Abuse Awareness Day

In recognition of World Elder Abuse Awareness Day on June 15, NASAA reminds financial professionals and the public to be on the lookout for signs of elder financial abuse, including potential exploitation by guardians.
May 18, 2021

NASAA Members Approve Model Act to Create Restitution Assistance Funds for Victims of Securities Violations

NASAA today announced that its membership has voted to approve a model act for use by jurisdictions that are considering establishing restitution assistance funds for victims of securities violations.
May 11, 2021

New Handbook Available for Potential IAR CE Course Content Providers

NASAA today announced the availability of a handbook to help potential content providers prepare to meet the requirements for investment adviser representative continuing education (IAR CE) programs.
May 5, 2021

NASAA Names New Communications Director

NASAA announced today that Jeanne Hamrick has joined the organization as its Director of Communications. She will report to NASAA Executive Director Joseph Brady.
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.