Current Headlines
April 13, 2022
NASAA Announces Speakers and Agenda for May 4 “NASAA’s Senior Issues and Diminished Capacity Committee Presents” Webcast
The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for the next installation in the webcast series, “NASAA’s Senior Issues and Diminished Capacity Committee Presents.” The webcast is scheduled for May 4 at 2:30 p.m. ET to 3:45 p.m. ET and is open to the public.
March 31, 2022
NASAA Promotes Financial Literacy Month With Investor Education Resources
The North American Securities Administrators Association (NASAA) today highlighted educational resources available to investors in recognition of Financial Literacy Month, a time in April focused on promoting financial literacy and investor education.
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
