Newsroom
April 25, 2017
NASAA Announces Second Senior$afe Training Week
April 25, 2017--Rothman: “NASAA’s Senior$afe training program is an essential resource for investment services providers who are uniquely positioned to help protect seniors and identify financial abuse.”
April 24, 2017
NASAA Recognizes Financial Capability Month by Promoting Investor Education Outreach Programs
April 24, 2017--Rothman: “Financial capability is about educating and empowering all people of every age to take charge of their financial futures. Not only does it help people step up the ladder of economic opportunity and wealth, but also it helps to protect against predatory financial tricks and traps.”
March 2, 2017
NASAA Announces Federal Legislative Priorities
Download: NASAA Legislative Priorities for the 115th Congress WASHINGTON, D.C., March 2, 2017 – The North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators, today released its recommendations to Congress regarding ways to strengthen investor protection and facilitate healthy capital formation. “Our legislative priorities are designed to help members of the 115th […]
February 27, 2017
State Securities Regulators Join America Saves Week to Build Awareness of Safe Financial Behavior
February 27, 2017--“As families across America discuss their saving and investing goals, they can turn to the resources provided by state securities regulators to learn about investing wisely in order to meet their financial goals,” said Mike Rothman, NASAA president and Minnesota Commissioner of Commerce. “Information and awareness are critical in the fight against losing hard-earned money to investment fraud.”
February 17, 2017
Remarks of NASAA President Mike Rothman at the Signing of the Memorandum of Understanding Between NASAA and the SEC
Feburary 17, 2017--Delivered at SEC headquarters in Washington, D.C.
February 17, 2017
NASAA, SEC Sign Info-Sharing Agreement For Crowdfunding and Other Offerings
February 17, 2017--NASAA President Rothman: “This agreement will strengthen collaboration among state and federal securities regulators to help expand small-business investment opportunities while also protecting investors. Ongoing dialogue is essential to carry out our responsibilities going forward. With this MOU in place, we have an opportunity to share information that will bolster our efforts to support small business capital formation and prevent fraud."
December 20, 2016
NASAA Announces ‘Start Today and Retire Tomorrow’ (STaRT) Initiative
December 20, 2016--New Workplace Education Training Program to Help Workers Toward Retirement Security
November 16, 2016
NASAA Statement on SEC Chair Mary Jo White
November 15, 2016--"During Chair White’s tenure, NASAA has had the honor and opportunity to work closely with her and the SEC staff on regulatory initiatives and important issues. On behalf of NASAA, we want to thank Chair White for her service, and we wish her the very best in her next endeavor. We also look forward to strengthening our collaboration with the SEC to protect Main Street investors.”
October 26, 2016
NASAA Statement on SEC Adoption of Final Rule 147, 504 Amendments
October 26, 2016--Rules Will Help Facilitate Intrastate and Regional Securities Offerings
October 24, 2016
