Newsroom
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
NASAA Statement on Confirmation of Elad Roisman to Serve on the U.S. Securities and Exchange Commission
September 5, 2018: Borg: “On behalf of state and provincial securities regulators, I am pleased to congratulate Elad Roisman on his confirmation to serve on the SEC. We look forward to working with Commissioner Roisman, his fellow Commissioners Stein, Jackson and Peirce, and Chairman Clayton on our shared goal of protecting retail investors and the integrity of the securities markets they depend upon to secure their financial futures.”
August 28, 2018
NASAA Updates Coordinated Crypto Crackdown
August 28, 2018:Borg: “State and provincial securities regulators are committing significant regulatory resources to protect investors from financial harm involving fraudulent ICOs and cryptocurrency-related investment products and also are raising awareness among industry participants of their regulatory responsibilities.”
August 27, 2018
NASAA Comments on SEC’s Regulation Best Interest and Related Rule Proposals
August 27, 2018: NASAA comment letter expresses support for the SEC's work to raise the standard of care for broker-dealers and encourages the agency to make significant revisions to its April 18 Regulation Best Interest and related proposals (Reg BI) before adopting them in order to best serve the interests of investors.
July 26, 2018
State and Provincial Securities Regulators to Convene in Alaska for NASAA Annual Meeting
July 25, 2018: Borg: “Our program for this year’s meeting launches NASAA’s centennial celebration with a cohesive look ahead at the changes and challenges on the horizon for today’s investors, the securities industry and its regulators."
June 15, 2018
NASAA Recognizes World Elder Abuse Awareness Day
June 15, 2018: Warns of Danger Signs of Suspected Abuse by Guardians
June 13, 2018
