Newsroom
May 26, 2015
NASAA Names Joseph Brady as Executive Director
May 26, 2015--As Executive Director, Brady will work closely with NASAA leadership and members, industry and investor groups, other regulators and Capitol Hill lawmakers. He also will oversee NASAA’s day-to-day operations.
May 11, 2015
NASAA Statement on Texas Supreme Court Ruling in Life Partners v. Arnold
May 11, 2105--"NASAA appreciates that the Texas Supreme Court agrees with state securities regulators that the life settlement contacts and viaticals, at issue in Life Partners v. Arnold satisfy the definition of an investment contact under the Texas Securities Act, making them securities subject to the Texas Securities Act."
April 22, 2015
NASAA Advisory Shines Light on Broker-Dealer Fees
April 22, 2015--In recognition of Financial Literacy Month, (April 1-30) NASAA issues an advisory to help raise investor awareness about fees charged by broker-dealer firms for services and maintenance of investment accounts.
April 9, 2015
Speakers Announced for NASAA Public Policy Conference
April 9, 2015--NASAA announces final lineup of speakers and panelists for its upcoming Public Policy Conference, scheduled for April 14 in Washington, DC.
April 8, 2015
NASAA Research Shows Investor Confusion Over Brokerage Fees
April 8, 2015--Poll finds most investors don’t know the cost to service and maintain their brokerage accounts.
March 27, 2015
NASAA 2015 Public Policy Conference to Explore Progress Through Innovation
March 27, 2015--SEC Investor Advocate Rick Fleming to Delivery Keynote Address
March 25, 2015
NASAA Statement on SEC’s Regulation A Rule
March 25, 2015--Beatty: "We continue to have concerns that the rule does not maintain the important investor protection role of state securities regulators and must look more closely at the final rule as we evaluate our options.”
March 10, 2015
NASAA Statement on CFPB Arbitration Study
March 10, 2015--NASAA commends the CFPB and Director Cordray for bringing fresh and relevant research to the debate over the imposition of mandatory arbitration agreements by financial service providers.
February 23, 2015
NASAA Offers Legislative Agenda for 114th Congress
February 23, 2015--Agenda Highlights Policy Priorities for State Securities Regulators
February 12, 2015
