Current Headlines
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
NASAA Announces Agenda and Speakers for 2018 Fintech Forum
May 10, 2018: CFTC Chairman J. Christopher Giancarlo to address NASAA forum, which will examine cryptocurrency regulation, initial coin offerings, and blockchain technology.
May 7, 2018
NASAA Releases First Annual Report on State-Registered Investment Advisers
May 7, 2017: NASAA today released its first annual report identifying the contours of the state-registered investment adviser population and the related regulatory activities of state securities regulators.
May 2, 2018
State Securities Regulators Announce $26 Million Settlement With LPL Financial LLC Involving Sales of Unregistered, Non-exempt Securities
May 2, 2018:
April 24, 2018
NASAA Report Confirms Industry Progress to Comply with DOL Fiduciary Rule
April 24, 2018: Report Demonstrates Broker-Dealer Firms Devoted Considerable Resources in Anticipation of Rule’s Implementation
April 9, 2018
Speakers Announced for NASAA Public Policy Roundtable
April 9, 2018--Discussions to Focus on Cryptocurrency Enforcement & Securities Arbitration; For First Time, NASAA Offers Participants Option to Attend Online
April 5, 2018
NASAA Joins National Financial Capability Month Campaign
April 5, 2018--NASAA President Joseph Borg: “A key component of improving your financial capability is having an understanding of basic financial principles and practices. Being financially literate helps keep savings and investments safe from financial predators.”
February 15, 2018
