Newsroom
July 6, 2016
NASAA Statement on House Passage of The Senior$afe Act of 2016
July 6, 2016--NASAA commends the U.S. House of Representatives for its resounding approval of H.R. 4538, the Senior$afe Act of 2016, and looks forward to working closely with Sen. Susan Collins (R-ME), and other members of the Senate to secure its passage in that chamber.
June 16, 2016
NASAA Statement on The Senior$afe Act of 2016
June 16, 2016--NASAA applauds the passage of the Senior$afe Act of 2016 by the House Financial Services Committee and appreciates the efforts of those in Congress to address the critical policy challenges presented by senior financial exploitation.
June 15, 2016
NASAA Recognizes and Supports World Elder Abuse Awareness Day by Announcing Senior$afe Training Week
June 15, 2016--“Senior$afe is an important resource in the fight against elder financial exploitation,” said NASAA President and Maine Securities Administrator Judith Shaw. “This battle is a top priority for NASAA not just on World Elder Abuse Awareness Day, but every day.”
June 14, 2016
NASAA Statement on FINRA CEO Transition
June 14, 2016--“NASAA members share Mr. Cook’s commitment to protecting investors while ensuring fair financial markets. NASAA looks forward to building upon the positive working relationship established with Mr. Cook during his tenure at the Securities and Exchange Commission as we address areas of mutual interest, including sales practices involving alternative investment products, financial exploitation of senior investors, expungement, and arbitration.”
May 16, 2016
NASAA Releases for Public Comment Proposed Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings
May 16, 2016--In a step toward providing guidance to issuers and promoting uniformity, NASAA today announced that its Board of Directors has approved the release for public comment of a proposed model rule and uniform notice filing form for federal crowdfunding offerings.
April 20, 2016
Sen. Susan Collins to Deliver Keynote Address at NASAA Public Policy Conference
April 20, 2016--May 16 Conference to Focus on Enforcement and Deterrence in Today’s Financial Markets
April 18, 2016
State Securities Regulators Provide Resources to Sharpen Financial Literacy Skills
April 18, 2016--“State securities regulators can help sharpen your financial literacy skills,” said Judith Shaw, NASAA President and Maine Securities Administrator. “An important aspect of becoming financially literate is not only learning how to invest wisely, but also how to avoid investment fraud.”
April 14, 2016
NASAA Testimony Calls for Balanced Regulatory Approach to Capital Formation
April 14, 2016--“We have learned that efforts to spur successful capital formation must reflect a balanced regulatory approach that minimizes unnecessary costs and burdens on small businesses while maintaining robust investor protection,” Washington Securities Administrator and chair of NASAA’s Capital Formation Committee William Beatty testified during a hearing before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises.
April 6, 2016
NASAA Statement on Department of Labor Fiduciary Rule
April 6, 2016--“We appreciate that by broadening the application of fiduciary duty, the Department of Labor’s rule raises the standard of care applicable to retirement investors."
March 30, 2016
