Current Headlines
April 8, 2015
NASAA Research Shows Investor Confusion Over Brokerage Fees
April 8, 2015--Poll finds most investors don’t know the cost to service and maintain their brokerage accounts.
March 27, 2015
NASAA 2015 Public Policy Conference to Explore Progress Through Innovation
March 27, 2015--SEC Investor Advocate Rick Fleming to Delivery Keynote Address
March 25, 2015
NASAA Statement on SEC’s Regulation A Rule
March 25, 2015--Beatty: "We continue to have concerns that the rule does not maintain the important investor protection role of state securities regulators and must look more closely at the final rule as we evaluate our options.”
March 10, 2015
NASAA Statement on CFPB Arbitration Study
March 10, 2015--NASAA commends the CFPB and Director Cordray for bringing fresh and relevant research to the debate over the imposition of mandatory arbitration agreements by financial service providers.
February 23, 2015
NASAA Offers Legislative Agenda for 114th Congress
February 23, 2015--Agenda Highlights Policy Priorities for State Securities Regulators
February 12, 2015
NASAA’s Coordinated Review Program Setting New Service Standards
February 12, 2015--NASAA Invites SEC to Examine How the Program Streamlines State Review of Small Business Capital Formation Offerings
February 4, 2015
Maine Securities Administrator Outlines Innovative Program to Combat Senior Financial Exploitation
February 4, 2015--In testimony today before the Senate Special Committee on Aging, Maine Securities Administrator Judith Shaw called financial exploitation one of the most serious issues facing seniors and outlined an innovative approach Maine is taking to tackle the problem.
January 28, 2015
NASAA Reminds Investors to Discuss Cybersecurity With Their Financial Professionals
January 28, 2015--With an ever-growing list of financial institutions targeted by organized cyber-attacks, NASAA today issued an advisory reminding investors of the importance of understanding how their personal information is being protected by financial firms.
December 15, 2014
NASAA Launches Streamlined Electronic Filing Depository
December 15, 2014--EFD Offers Efficiency for Issuers and Improved Transparency for Investors
December 1, 2014
