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July 15, 2019

NASAA and SEC Explain Application of Securities Law to Opportunity Zone Investments

Download: Opportunity Zones NASAA-SEC Staff Statement Washington, D.C., July 15, 2019 – The North American Securities Administrators Association (NASAA) and the U.S. Securities and Exchange Commission (SEC) have issued a summary that explains the application of the federal and state securities laws to opportunity zone investments.
July 11, 2019

House Approves Resolution Honoring NASAA’s Centennial Anniversary

“As NASAA proudly celebrates its centennial anniversary, we are humbled to be honored by the House of Representatives and appreciate its affirmation of the vital role NASAA members serve in protecting Main Street investors and facilitating responsible capital formation for small businesses across our country,” said Michael S. Pieciak, NASAA President and Vermont’s Commissioner of Financial Regulation.
June 28, 2019

NASAA Leadership Announcement

NASAA today announced that in a special election its membership has elected New Jersey Securities Bureau Chief Christopher W. Gerold to serve as President-elect.
June 20, 2019

NASAA Statement on Confirmation of Allison Lee to SEC

“State securities regulators congratulate Allison Lee on her confirmation by the Senate to serve on the Securities and Exchange Commission. We look forward to working with Commissioner Lee, her fellow commissioners and Chairman Clayton on our mutual goal of protecting Main Street investors and the integrity of the securities markets they depend upon for their financial future.”
June 5, 2019

NASAA Statement on the SEC’s Regulation Best Interest

Statement by NASAA President Michael S. Pieciak regarding the adoption today by the U.S. Securities and Exchange Commission of its Regulation Best Interest, Form CRS, and publication of related proposals.
May 23, 2019

NASAA, SEC & FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation

New fact sheet designed to help raise awareness among broker-dealers, investment advisers, and transfer agents of the Act and how the Act’s immunity provisions work.
May 21, 2019

NASAA Members Adopt Investment Adviser Information Security Model Rule Package

“I am pleased that the NASAA membership adopted this information security model rule package, which now is available for individual jurisdictions throughout the United States to implement through regulation,” said Michael S. Pieciak, NASAA President and Vermont Commissioner of Financial Regulation.
April 30, 2019

Speakers Announced for NASAA Public Policy Roundtable

Discussions to Focus on Corporate Governance, Enforcement Activity and the Impact of the U.S.-Mexico-Canada Trade Agreement (USMCA) on the Investment Industry
April 30, 2019

NASAA Statement on The Senior Security Act

Statement by NASAA President Michael S. Pieciak, on the House passage of the The Senior Security Act (H.R. 1876), legislation introduced by Rep. Josh Gottheimer (D-NJ) and Trey Hollingsworth (R-IN).
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).