Newsroom
November 13, 2019
NASAA Upgrades Exam Resource for State Securities Examiners
NASAA today announced the launch of a significantly enhanced NASAA Electronic Examinations Module (NEMO). This web-based software application is available for use by state securities examiners to conduct examinations of state-registered investment advisers and broker-dealers within their jurisdictions.
October 30, 2019
NASAA 2020 Fee Announcement
NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees for state-registered investment adviser firms. NASAA also announced $5 increases in the IARD system fee for state-registered investment adviser representatives and the Electronic Filing Depository (EFD) system use fee for Form D, Rule 506 filings, effective January 1, 2020.
October 29, 2019
Remarks of NASAA President Christopher Gerold at NASAA’s 2019 Fintech & Cybersecurity Symposium
October 4, 2019
NASAA Announces Agenda for Fintech and Cybersecurity Symposium
NASAA today announced the agenda and speakers for its October 29, 2019 Fintech and Cybersecurity Symposium.
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 11, 2019
2019 NASAA Presidential Address: Christopher Gerold, New Jersey Securities Bureau Chief
September 10, 2019: President Christopher W. Gerold's Inaugural Address at NASAA's 2019 Annual Meeting in Austin, Texas.
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
