Current Headlines
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
NASAA Announces Agenda and Speakers for Cybersecurity Roundtable
June 16, 2017--NASAA cybersecurity roundtable will bring together leading experts to discuss the latest developments in cybersecurity and how small- and mid-sized investment adviser and broker-dealer firms can help protect critical client information.
June 15, 2017
NASAA Study Examines Broker-Dealer Senior Practices and Procedures
June 15, 2017--A new NASAA study released in recognition of World Elder Abuse Awareness Day offers an inside look at the dangers seniors face from financial fraud and exploitation, and broker-dealer procedures to help protect senior clients.
May 31, 2017
NASAA to Convene Cybersecurity Roundtable
May 31, 2017--Rothman: “Cyberattacks continue to be one of the greatest threats to our financial sector.”
May 9, 2017
NASAA Reports More Firms Using Model Fee Table
May 9, 2017--Rothman: “This collaborative initiative between regulators and industry helps increase the transparency of fee disclosure for investors."
May 1, 2017
NASAA Conference to Focus on Investor Protection & Market Confidence
May 1, 2017--Rothman: “This year's conference will help us stay on the forefront of securities regulation, capital formation, investor protection and key public policy for state and provincial regulators as we chart a course for the future amid a sea of change.”
April 28, 2017
