Newsroom
February 4, 2015
Maine Securities Administrator Outlines Innovative Program to Combat Senior Financial Exploitation
February 4, 2015--In testimony today before the Senate Special Committee on Aging, Maine Securities Administrator Judith Shaw called financial exploitation one of the most serious issues facing seniors and outlined an innovative approach Maine is taking to tackle the problem.
January 28, 2015
NASAA Reminds Investors to Discuss Cybersecurity With Their Financial Professionals
January 28, 2015--With an ever-growing list of financial institutions targeted by organized cyber-attacks, NASAA today issued an advisory reminding investors of the importance of understanding how their personal information is being protected by financial firms.
December 15, 2014
NASAA Launches Streamlined Electronic Filing Depository
December 15, 2014--EFD Offers Efficiency for Issuers and Improved Transparency for Investors
December 1, 2014
NASAA Issues Advisory on Third-Party Custodians of Self-Directed IRAs and Other Qualified Plans
December 1, 2014--“While self-directed IRAs can be a safe way to invest retirement funds, investors should understand that third-party custodians have limited duties to investors,” said William Beatty, NASAA President and Washington Securities Director.
November 20, 2014
NASAA Urges Investors to Approach High-Yield Investment Programs With Caution
November 20, 2014--High-yield investment programs, or HYIPs, are Ponzi schemes sold by unlicensed individuals.
November 12, 2014
New Products in Classic Schemes Identified as Top Investor Threats
November 12, 2014--“Many of the top threats facing investors involve new products in classic schemes,” said William Beatty, NASAA President and Washington Securities Director. “Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregistered products to unsuspecting investors.”
November 4, 2014
States Report Rise in Enforcement Actions Against Licensed Broker Sales Agents
November 4, 2014--Enforcement Report Shows Unlicensed Individuals, Firms Continue as Greatest Source of State Enforcement Actions
October 29, 2014
NASAA Cautions Investors to Guard Against Ebola-Related Scams
October 29, 2014--NASAA Task Force Monitoring Internet for Fraud Following Outbreak of Ebola-Related Website Names
October 28, 2014
A Presidential Conversation: William Beatty and Andrea Seidt
September 16, 2014--An adaptation of remarks given at NASAA's Annual Conference on September 16, 2014 by William Beatty, NASAA President and Washington Securities Director, and Andrea Seidt, NASAA Past President and Ohio Securities Commissioner.
October 20, 2014
