Current Headlines
December 22, 2023
NASAA Statement on Confirmation of Mark Uyeda to Serve on the U.S. Securities and Exchange Commission
NASAA released a statement from Claire McHenry, NASAA President and Deputy Director of the Nebraska Department of Banking and Finance Bureau of Securities, on the confirmation by the U.S. Senate of Mark Uyeda to serve on the U.S. Securities and Exchange Commission.
October 31, 2023
NASAA Launches Exam Validity Extension Program for Investment Adviser Representatives
NASAA today announced the launch of the Investment Adviser Representative Exam Validity Extension Program (IAR EVEP).
October 27, 2023
NASAA Announces 2024 Fee Schedule for Investment Adviser Registration Depository System
NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees in 2024 for state-registered investment adviser firms, and no change to the initial set-up and annual system fees paid by investment adviser representatives.
October 25, 2023
NASAA Members, CFTC Reach Settlement with Safeguard Metals in $68m Fraud Targeting Elderly Adults
Thirty state regulators and the Commodity Futures Trading Commission (CFTC) announced a settlement with a precious metals dealer and its owner for operating a nationwide $68 million fraudulent scheme targeting elderly and retirement-aged persons. The settlement resolves the federal lawsuit filed in February 2022 in the U.S. District Court for the Central District of California against defendants Safeguard Metals LLC and Jeffrey Ikahn.
October 2, 2023
NASAA Joins with Securities Regulators Around the World During World Investor Week
NASAA joined with the SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), and the Securities Investor Protection Corporation (SIPC), to recognize World Investor Week and highlight educational resources available to investors.
October 2, 2023
NASAA Investor Bulletin: Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023
For World Investor Week 2023, NASAA and its partners offer three tips to increase your resilience as an investor.
September 25, 2023
NASAA Debuts New Resource for Qualification Exams
NASAA announced the release of newly created guides for candidates interested in taking the Series 63, Series 65, and Series 66 qualification examinations.
September 12, 2023
NASAA Installs New President and Board Officers at 2023 Fall Annual Meeting
NASAA announced the appointment of its new president, Claire McHenry, Deputy Director of the Nebraska Department of Banking and Finance Bureau of Securities, during the 2023 NASAA Fall Annual Meeting held September 10-12 in San Diego.
September 11, 2023
2023 State Investment Adviser Examination Sweep Identifies Compliance Deficiencies
A series of coordinated examinations of state-registered investment advisers by state securities examiners identified top firm policy and practice deficiencies, NASAA announced.
September 5, 2023
