Newsroom
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
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
