Newsroom
October 8, 2014
NASAA Statement on PIABA Arbitration Study
October 8, 2014--“NASAA has consistently raised concerns about the mandatory predispute resolution process and the report issued by PIABA notes additional important issues related to arbitrator disclosure and transparency that merit further review. NASAA continues to support the Investor Choice Act, introduced by Rep. Keith Ellison (D-MN) and supported by 30 House members, which would provide investors an opportunity to seek resolution of their claims through the court system.”
September 29, 2014
States Report Increase in Prison Time for Securities Law Violators
September 29, 2014--Aggressive Enforcement By State Securities Regulators Brings Criminals to Justice
September 16, 2014
NASAA Appoints Advisory Council to Work With Regulators on Committee on Senior Issues and Diminished Capacity
September 16, 2014--“We look forward to working closely with an advisory council of experts from government, business, senior advocacy organizations, academia and medical and legal practitioners, as we move forward in this ever increasingly important area of investor protection and service,” said William Beatty, NASAA President and Washington Securities Director.
September 16, 2014
Washington’s William Beatty to Lead NASAA
September 16, 2014--Beatty: "I strongly believe in NASAA's mission to protect retail investors and foster capital formation."
September 11, 2014
Working Group Formed to Develop Improved Fee Disclosure
September 11, 2014--Follows NASAA Report Uncovering Wide Disparity of Broker-Dealer Fee Disclosure Practices
September 10, 2014
NASAA Survey Finds Mid-Sized IAs Addressing Cybersecurity Risks
September 10, 2014--Investment Advisers Report Few Security Breaches
August 19, 2014
New NASAA Initiative Focuses on Senior Investor Issues
August 19, 2014--Committee Reflects Long-Standing Role of State and Provincial Securities Regulators to Protect Senior Investors
August 18, 2014
NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today
August 18, 2014--Indianapolis Conference to Explore Diminished Capacity, High-Frequency Trading, and State Efforts to Help Small Businesses Raise Capital
July 28, 2014
NASAA Supports FINRA’s Effort to Reduce Deletion of Customer Complaint Records
July 28, 2014--States Use Data to Screen Broker License Applications for Bad Actors
May 12, 2014
