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Current Headlines

March 28, 2012

NASAA Offers New Resource to Help Investment Advisers Identify State Registration Requirements

March 28, 2012 - NASAA assists advisers in making the switch from SEC to state registration with new online IA registration resource.
March 22, 2012

NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen

March 22, 2012 - NASAA calls the JOBS Act a "fundamentally flawed product of a rush to legislate."
March 22, 2012

NASAA Statement on Senate Approval of the JOBS Act

March 22, 2012 - NASAA President Jack E. Herstein issued a statement following the Senate vote on the "Jumpstart Our Business Startups (JOBS)" Act.
March 8, 2012

NASAA Statement on the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606

March 8, 2012 - Jack E. Herstein, president of the North American Securities Administrators Association and Assistant Director of the Nebraska Banking & Finance Department, Bureau of Securities, issued a statement following today’s vote by the House of Representatives to approve the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606.
February 21, 2012

NASAA Marks Military Saves Week by Taking Aim at Fraud Targeting Military Members

February 21, 2012 - NASAA encourages military members and their families to shore up their defenses against investment fraud during Military Saves Week.
February 1, 2012

NASAA Cautions Investors Not to Stumble When Interest Rates Fall Flat

February 1, 2012 - Following the Federal Reserve’s announcement that interest rates are expected to remain low until at least late 2014, NASAA today cautioned investors to beware of risky or outright fraudulent investments promising higher yield or returns.
January 18, 2012

State Securities Regulators Announce Hotline and Website for E*Trade ARS Investors

January 18, 2012 - NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.
December 1, 2011

NASAA: States Best Positioned to Oversee Small Business Capital Formation

December 1, 2011 - NASAA today said states should be the primary regulator of small business capital formation, including crowdfunding offerings.
November 29, 2011

State Securities Regulators Launch Coordinated Review Program for Investment Advisers

November 29, 2011 - NASAA has developed a coordinated review program for investment advisers switching from federal to state securities regulatory oversight as mandated by Dodd-Frank.
November 9, 2011

NASAA Sends Cease-and-Desist Letter to Copycat Website

November 9, 2011 - NASAA announced today that it has demanded the operator of the “State Securities Commission” website cease operations after it was learned that the website appeared to have been designed to dupe investors.