Current Headlines
October 30, 2017
NASAA Spotlights Warning Signs of Guardian Financial Abuse
October 30, 2017--NASAA President Joseph P. Borg: “Through this resource, we hope to help focus attention on the warning signs of suspected guardian financial abuse.”
September 26, 2017
NASAA Releases Annual Enforcement Report
September 26, 2017--NASAA President Joseph P. Borg: “State securities regulators continue to serve a critical role in protecting investors and holding securities law violators responsible for the damage they cause to individual investors as well as to the integrity of our capital markets.”
September 26, 2017
NASAA Reports Growing Use of Model Fee Disclosure Table
September 26, 2017--NASAA President Joseph P. Borg: "All firms that have taken this important step to help bring uniformity to the disclosure of broker-dealer service and maintenance-related fees are commended and others are encouraged to match this level of disclosure for their clients.”
September 26, 2017
Alabama’s Joseph Borg Begins Term as NASAA President
September 26, 2017--Becomes First Administrator Elected to Three Terms as Chief of International Investor Protection Organization
September 24, 2017
State Investment Adviser Examinations Uncover Cybersecurity Deficiencies
September 24, 2017--NASAA Also Releases New Cybersecurity Resource for Investment Advisers
August 30, 2017
NASAA Cautions Investors to Watch for Scams in Wake of Hurricane Harvey
August 30, 2017--NASAA Also Extends Exam Windows for Candidates Affected by Storm
August 21, 2017
Seniors at Risk From Financial Fraud
August 21, 2017--Survey of State Securities Regulators Highlights Seniors as Most Vulnerable and the Need for Better Fraud Detection
August 10, 2017
NASAA Annual Conference to Focus on the Financial Services Technology Revolution
August 10, 2017--Securities regulators and industry participants from throughout North America will convene next month in Seattle, Washington, for the North American Securities Administrators Association’s (NASAA) annual conference. Under the theme “The Financial Services Technology Revolution,” the conference will be held September 24-26.
June 23, 2017
Cybersecurity Threats to Financial Services Industry, Investors Explored at NASAA Roundtable
June 23, 2017--Rothman: “Cybersecurity is a growing challenge for the securities industry and for securities regulators at all levels,”
June 16, 2017
