Newsroom
September 29, 2015
NASAA Board Approves Release for Comment of Proposed Model Act to Protect Vulnerable Adults from Financial Exploitation
September 29, 2015--“Working together we can and will close the holes in our safety net of support and protection for vulnerable adult investors,” said Judith Shaw, NASAA President and Maine Securities Administrator.
September 29, 2015
Maine’s Judith Shaw Elected NASAA President
September 29, 2015--“In this age of technology and electronic marketing, borders are virtually nonexistent. We will find ways to leverage our available resources and support one another in the interest of investor protection,” said NASAA President Judith Shaw.
September 29, 2015
2015 Presidential Address: Maine Securities Administrator Judith Shaw
September 29, 2015--NASAA President Judith Shaw's inaugural speech at NASAA's 98th Annual Conference.
September 28, 2015
NASAA Reports Common IA Deficiencies
September 28, 2015-- State Coordinated Investment Adviser Examinations Show Signs of Improved Compliance
September 28, 2015
Working Group Develops Model Fee Disclosure Schedule
September 28, 2015--New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees
September 23, 2015
State Securities Regulators Announce Settlement with LPL Financial LLC Involving Non-Traded REIT Investigation
September 23, 2015--Under the terms of the settlement, Boston-based LPL agreed to remediate losses for all non-traded REITS sold by the firm from January 1, 2008 through December 31, 2013 in violation of prospectus standards, state concentration limits or LPL’s own guidelines.
September 22, 2015
NASAA Releases Annual Enforcement Report
September 22, 2015--Report Indicates Seniors Remain a Top Target for Cons
August 31, 2015
NASAA Annual Conference to Explore Regulation For the Ages
August 31, 2015--Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address
August 5, 2015
NASAA’s Electronic Filing Depository Reaches Milestone
August 5, 2015--Streamlined Online Filing System Tops 10,000 Filings
June 15, 2015
