Current Headlines
February 27, 2017
State Securities Regulators Join America Saves Week to Build Awareness of Safe Financial Behavior
February 27, 2017--“As families across America discuss their saving and investing goals, they can turn to the resources provided by state securities regulators to learn about investing wisely in order to meet their financial goals,” said Mike Rothman, NASAA president and Minnesota Commissioner of Commerce. “Information and awareness are critical in the fight against losing hard-earned money to investment fraud.”
February 17, 2017
NASAA, SEC Sign Info-Sharing Agreement For Crowdfunding and Other Offerings
February 17, 2017--NASAA President Rothman: “This agreement will strengthen collaboration among state and federal securities regulators to help expand small-business investment opportunities while also protecting investors. Ongoing dialogue is essential to carry out our responsibilities going forward. With this MOU in place, we have an opportunity to share information that will bolster our efforts to support small business capital formation and prevent fraud."
December 20, 2016
NASAA Announces ‘Start Today and Retire Tomorrow’ (STaRT) Initiative
December 20, 2016--New Workplace Education Training Program to Help Workers Toward Retirement Security
November 16, 2016
NASAA Statement on SEC Chair Mary Jo White
November 15, 2016--"During Chair White’s tenure, NASAA has had the honor and opportunity to work closely with her and the SEC staff on regulatory initiatives and important issues. On behalf of NASAA, we want to thank Chair White for her service, and we wish her the very best in her next endeavor. We also look forward to strengthening our collaboration with the SEC to protect Main Street investors.”
October 26, 2016
NASAA Statement on SEC Adoption of Final Rule 147, 504 Amendments
October 26, 2016--Rules Will Help Facilitate Intrastate and Regional Securities Offerings
October 24, 2016
NASAA Waives IARD System Fee For Investment Adviser Firms
October 24, 2016--Initial and Renewal Fees for individual IA Representatives to Continue at Reduced Level for 2017
October 13, 2016
NASAA Members Participate in Senior$afe Training Week
October 13, 2016--Nationwide Training Sessions Conducted by State Securities Regulators Aimed at Helping Investment Services Professionals Identify and Report Senior Financial Exploitation
October 7, 2016
NASAA Statement on Bipartisan Congressional Effort Encouraging the SEC to Finalize Rulemaking Related to Intrastate Crowdfunding
October 7, 2016--“NASAA has strongly supported the SEC’s efforts to modernize Rules 147 and 504, and we are encouraged to see members of Congress, led by Rep. Tom Emmer (R-MN) and Rep. Gwen Moore (D-WI), weigh in to support the SEC’s important proposed actions. These key changes will benefit small and local businesses conducting intrastate crowdfunding and regional securities offerings to raise capital, while maintaining important investor protections."
September 13, 2016
NASAA Releases Annual Enforcement Report
September 13, 2016--For first time, report shows more actions brought against registered securities industry members than non-registered individuals.
September 13, 2016
