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Topic
Year
March 23, 2022

NASAA Seeks Public Comment on Proposed Statement of Policy Regarding Peer-to-Peer Lending

The North American Securities Administrators Association (NASAA) is seeking public comment on a proposed Statement of Policy Regarding Peer-to-Peer Lending.
March 14, 2022

North American Securities Administrators Association Statement on Cyber Risk and Investment Threats Related to the Conflict in Ukraine

Melanie Senter Lubin, President of the North American Securities Administrators Association (NASAA) and Maryland Securities Commissioner, provides a statement related to the conflict in Ukraine.
March 8, 2022

Wisconsin Securities Regulator Leslie M. Van Buskirk Elected Vice Chair of SEC Investor Advisory Committee

Wisconsin Securities Regulator Elected Vice Chair of SEC Investor Advisory Committee
March 3, 2022

NASAA Highlights National Consumer Protection Week; Offers Education Resources to Help Protect Investors from Fraud

In support of National Consumer Protection Week, March 6-12, 2022, the North American Securities Administrators Association (NASAA) is highlighting investor education resources to help protect investors of all ages from financial fraud and abuse.
February 14, 2022

NASAA and SEC Announce $100 Million Settlement with BlockFi Lending, LLC

The North American Securities Administrators Association (NASAA) and the U.S. Securities and Exchange Commission (SEC) jointly announced a $100 million settlement with BlockFi Lending, LLC (BlockFi) concerning its lending products and practices. Thirty-two state securities regulators have agreed to the terms of a settlement with BlockFi to resolve its past unregistered activities. More jurisdictions are expected to follow.
February 8, 2022

Three States Adopt NASAA Model Rule Requiring Investment Adviser Representative Continuing Education in 2022

Maryland, Mississippi and Vermont have implemented continuing education requirements for investment adviser representatives in their jurisdictions in 2022. The requirements enacted by the three states are based on the NASAA Model Rule on Investment Adviser Representative Continuing Education, which was adopted by the NASAA membership in November 2020.
February 1, 2022

The CFTC and 27 State Securities Regulatory Agencies Charge Los Angeles Area Precious Metals Dealer in Ongoing $68 Million Fraud Targeting the Elderly

The Commodity Futures Trading Commission and 27 state securities regulatory agencies that are members of the North American Securities Administrators Association (NASAA) announced the filing of a joint civil enforcement action in the U.S. District Court for the Central District of California against a precious metals dealer and its owner for orchestrating a $68 million fraudulent scheme targeting elderly persons nationwide.
January 25, 2022

Kristen Hutchens Named NASAA Director of Policy and Government Affairs

The North American Securities Administrators Association, Inc. (NASAA) announced today that Kristen Hutchens has been promoted to director of policy and government affairs, and policy counsel.
January 10, 2022

NASAA Reveals Top Investor Threats for 2022

The North American Securities Administrators Association (NASAA) today released its annual list of top investor threats and urged investors to use caution before investing in popular and volatile unregulated investments – especially those involving cryptocurrency and digital assets.
December 7, 2021

NASAA Announces Speakers and Agenda for 2021 Fintech and Cybersecurity Symposium

The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for its December 14, 2021, Fintech and Cybersecurity Symposium.