Current Headlines
September 28, 2015
Working Group Develops Model Fee Disclosure Schedule
September 28, 2015--New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees
September 23, 2015
State Securities Regulators Announce Settlement with LPL Financial LLC Involving Non-Traded REIT Investigation
September 23, 2015--Under the terms of the settlement, Boston-based LPL agreed to remediate losses for all non-traded REITS sold by the firm from January 1, 2008 through December 31, 2013 in violation of prospectus standards, state concentration limits or LPL’s own guidelines.
September 22, 2015
NASAA Releases Annual Enforcement Report
September 22, 2015--Report Indicates Seniors Remain a Top Target for Cons
August 31, 2015
NASAA Annual Conference to Explore Regulation For the Ages
August 31, 2015--Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address
August 5, 2015
NASAA’s Electronic Filing Depository Reaches Milestone
August 5, 2015--Streamlined Online Filing System Tops 10,000 Filings
June 15, 2015
NASAA Supports World Elder Abuse Awareness Day
June 15, 2015--NASAA today recognized World Elder Abuse Awareness Day (WEAAD) by urging all to join in the fight against senior financial exploitation, the crime of the 21st century.
May 26, 2015
NASAA Names Joseph Brady as Executive Director
May 26, 2015--As Executive Director, Brady will work closely with NASAA leadership and members, industry and investor groups, other regulators and Capitol Hill lawmakers. He also will oversee NASAA’s day-to-day operations.
May 11, 2015
NASAA Statement on Texas Supreme Court Ruling in Life Partners v. Arnold
May 11, 2105--"NASAA appreciates that the Texas Supreme Court agrees with state securities regulators that the life settlement contacts and viaticals, at issue in Life Partners v. Arnold satisfy the definition of an investment contact under the Texas Securities Act, making them securities subject to the Texas Securities Act."
April 22, 2015
NASAA Advisory Shines Light on Broker-Dealer Fees
April 22, 2015--In recognition of Financial Literacy Month, (April 1-30) NASAA issues an advisory to help raise investor awareness about fees charged by broker-dealer firms for services and maintenance of investment accounts.
April 9, 2015
