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Topic
Year
April 3, 2019

NASAA Testifies at Congressional Hearing on Proposals to Put Main Street Investor Interests First

"NASAA applauds the Subcommittee on its decision to hold its initial hearings of the 116th Congress on proposals that explicitly place the interest of Main Street investors first,” Maryland Securities Commissioner and NASAA Board member Melanie Lubin testified before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, chaired by Rep. Carolyn Maloney (D-NY).
April 2, 2019

NASAA Joins States in Promoting Financial Capability Month

NASAA today announced its support of Financial Capability Month, a nationwide investor awareness initiative that invites people to improve their understanding of financial principles and best practices. Members of NASAA include state and provincial securities regulators throughout North America. As part of the initiative, NASAA released the first of its Millennial Moment videos.
March 12, 2019

NASAA’s Electronic Filing Depository Functionality Expanded

System Now Accepts Notice Filings for Unit Investment Trusts
March 5, 2019

NASAA Offers Legislative Agenda for 116th Congress

NASAA today released its legislative agenda for the 116th Congress, which advocates for bipartisan policy making that puts the interests of America’s retail investors first and ensures our nation’s securities and financial markets remain vibrant and secure in the 21st century.
February 27, 2019

NASAA Launches Centennial Anniversary and Announces Public Policy Roundtable

NASAA is commemorating its 100th anniversary this year with a series of events, including highlighting this important milestone at its May 20 Public Policy Roundtable in Washington, DC.
February 25, 2019

NASAA Promotes Millennial Financial Awareness During America Saves Week

Pieciak: “We cannot afford to let this younger generation try to build retirement security without the investor education and awareness tools they will need.”
January 14, 2019

State Securities Regulators Unaffected by Partial Shutdown of Federal Government and Available to Provide Investor Assistance

Pieciak: “We are available to field investor complaints or answer questions regarding small business capital formation, as we have been for the past 100 years.”
November 26, 2018

Waiver Continues for IARD System Fee for Investment Adviser Firms

NASAA Also Announces Exam Enrollment and Form D Filing Fees Will Remain Unchanged
October 31, 2018

NASAA Marks Cryptocurrency Anniversary With a Word of Caution

NASAA today marked the 10th anniversary of Bitcoin and announced the release of the second in its series of “Get in the Know” videos to raise awareness of the risks of cryptocurrency-related investment products.
October 10, 2018

NASAA Releases Annual Enforcement Report

Pieciak: “The results from this year’s enforcement survey demonstrate that state securities regulators continue to play a critical role in protecting investors and holding securities law violators responsible for the damage that they cause to individual investors specifically and to the integrity of our capital markets in general."