Newsroom
January 14, 2019
State Securities Regulators Unaffected by Partial Shutdown of Federal Government and Available to Provide Investor Assistance
Pieciak: “We are available to field investor complaints or answer questions regarding small business capital formation, as we have been for the past 100 years.”
November 26, 2018
Waiver Continues for IARD System Fee for Investment Adviser Firms
NASAA Also Announces Exam Enrollment and Form D Filing Fees Will Remain Unchanged
October 31, 2018
NASAA Marks Cryptocurrency Anniversary With a Word of Caution
NASAA today marked the 10th anniversary of Bitcoin and announced the release of the second in its series of “Get in the Know” videos to raise awareness of the risks of cryptocurrency-related investment products.
October 10, 2018
NASAA Releases Annual Enforcement Report
Pieciak: “The results from this year’s enforcement survey demonstrate that state securities regulators continue to play a critical role in protecting investors and holding securities law violators responsible for the damage that they cause to individual investors specifically and to the integrity of our capital markets in general."
October 2, 2018
NASAA Announces Agenda and Speakers for Cybersecurity Roundtable
October 2, 2018: NASAA roundtable to bring together leading experts to discuss the latest developments in cybersecurity and how small- and mid-sized investment adviser and broker-dealer firms can help protect critical client information.
September 25, 2018
2018 NASAA Presidential Address: Michael Pieciak, Vermont Financial Regulation Commissioner
September 25, 2018: President Michael S. Pieciak's Inaugural Address at NASAA's 2018 Annual Meeting in Anchorage, Alaska.
September 25, 2018
NASAA Coordinated Examinations Focus on Broker-Dealer Heightened Supervision Plans
September 25, 2018:NASAA released findings of a series of coordinated examinations of broker-dealer firms to survey heightened supervision plans for their registered representatives.
September 25, 2018
Vermont’s Michael Pieciak Begins Term as NASAA President
September 25, 2018:Pieciak: “I am honored to lead our association into its second century of service to our members, to the securities industry, and, most importantly, to Main Street investors throughout North America.”
September 18, 2018
NASAA: Watch for Scams in Florence’s Wake
September 18, 2018: Borg: “Natural disasters bring out the best and worst in people. While news stemming from Hurricane Florence has rightfully focused on the tireless efforts of first responders and neighbors helping neighbors, we know from experience that financial predators are lurking like snakes in the water to seek profit from the misfortune of others.”
September 5, 2018
