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Current Headlines

October 2, 2019

NASAA Offers Resources for Millennial Investors

In recognition of World Investor Week (Sept. 30 - Oct. 6), the North American Securities Administrators Association (NASAA) today announced the availability of the Millennial Money Mission, a series of investor resources designed specifically for Millennials,
September 11, 2019

NASAA urges Congress to Refrain From Further Expanding Private Securities Markets

“NASAA is concerned that our current regulatory regime has gone too far in favoring private capital raising over public markets,” testified Michael Pieciak, immediate past president of NASAA and Vermont’s Commissioner of Financial Regulation.
September 10, 2019

NASAA Releases Annual Enforcement Report

Gerold: "This report shows that NASAA members are on the frontlines of investor protection."
September 10, 2019

New Jersey’s Christopher Gerold Elected as NASAA President

New Jersey Securities Bureau Chief Christopher W. Gerold today began a one-year term after having been elected the 102st president of the North American Securities Administrators Association.
September 8, 2019

State Investment Adviser Examinations Find Rising Cybersecurity Deficiencies

State securities regulators are concerned that deficiencies related to cybersecurity are rising among state-regulated investment advisers.
August 7, 2019

NASAA Updates Coordinated Crypto Crackdown

State and provincial securities regulators are seeing an uptick this year in solicitations in potential crypto-related frauds.
July 31, 2019

NASAA Report Recommends Improved Policies and Procedures for Non-Traditional Exchange Traded Funds

NASAA releases report on broker-dealer sales practices for non-traditional Exchange Traded Funds (ETFs), such as leveraged and inverse ETFs, which can present greater risks to investors than do traditional ETFs due to their complexity.
July 30, 2019

NASAA Launches New, Redesigned Website

“Our new website is designed with the user in mind,” said Michael S. Pieciak, NASAA President and Vermont Commissioner of Financial Regulation. “The new website highlights the tremendous investor protection resources available from state and provincial securities regulators as well as the work of NASAA in advocating for the protection of Main Street investors and responsible capital formation.”
July 22, 2019

NASAA Issues Advisory on Opportunity Zone Investments

NASAA today issued an investor advisory raising awareness of the risks associated with investments in opportunity zones, economically distressed communities where new investments, under certain conditions, may be eligible for preferential tax treatment as part of the 2017 Tax Cuts and Jobs Act.
July 22, 2019

State and Provincial Securities Regulators to Launch NASAA’s Second Century of Investor Protection at Annual Meeting in Texas