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Current Headlines

Topic
Year
May 8, 2020

New Franchise Disclosure Handbook Available from NASAA

NASAA today announced the availability of a new publication designed to improve the quality of franchise disclosures.
April 28, 2020

NASAA Forms COVID-19 Enforcement Task Force

“Just as state and provincial securities led the way in protecting investors from fraudulent cryptocurrency-based schemes in 2018, we stand ready to protect investors from COVID-19-related schemes during this unprecedented time,” said Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities.
April 27, 2020

NASAA Releases Annual Report on State-Registered Investment Advisers

“This report outlines the significant resources state securities regulators bring to help state-registered investment advisers, many of which are small- and mid-size businesses, continue to succeed, and to both understand and comply with state securities law,” said Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities.
April 16, 2020

New Resource Shows Strong State COVID-19 Regulatory Response

NASAA today released a new resource to provide information about the operational status of state securities regulators and any regulatory relief that they may have issued in response to the ongoing COVID-19 crisis.
April 3, 2020

NASAA Outlines Investor Protection Concerns Amid COVID-19 Crisis in Remarks to SEC Advisory Committee

“The past few weeks have been challenging for investors, regulators, and the financial services industry. While state securities authorities are working to help financial professionals withstand current difficulties, we remain focused on our mission to protect investors,” Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities, said in remarks to the SEC’s Investor Advisory Committee.
March 30, 2020

COVID-19-Related Investment Schemes Anticipated

"In these extraordinary times the health and welfare of all must be our foremost concern, and that includes our financial health. Our primary focus remains on the protection of retail investors,” said Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities.
March 26, 2020

NASAA Outlines Steps State Securities Regulators are Taking to Provide Temporary Regulatory Relief Amid COVID-19 Pandemic

“State securities regulators have been working together closely to provide financial service professionals with the temporary relief needed to withstand challenges caused by the COVID-19 outbreak, while at the same time ensuring that investors are protected from frauds,” Commissioner Lubin said.
March 17, 2020

NASAA Urges SEC Not to Move Forward with Proposal to Expand Access to High-Risk Private Offerings Without Added Protections

“The proposal is a deregulatory effort that is singularly focused on expanding the private markets while showing little regard for its potential adverse effects on retail investors and the public markets,” wrote Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities. “The Commission should not move forward with the proposal as currently presented.”
March 2, 2020

State and Provincial Securities Regulators Offer Resources Addressing Unique Investing Issues Facing Women

In recognition of Women’s History Month and the women’s suffrage centennial, NASAA has developed an outreach program to help state and provincial securities regulators provide investor education that delivers practical tools addressing the unique investing issues faced by women.
February 28, 2020

NASAA Reminds Investors to Beware of Con Artists Looking to Profit from Fear and Uncertainty

In light of the ongoing developments related to the current coronavirus (COVID-19) situation, and its impact on financial markets, state and provincial securities regulators are reminding investors to beware of con artists seeking to capitalize on fear and uncertainty.