Newsroom
April 24, 2014
NASAA Statement Regarding FINRA Decision on Schwab Effort to Curb Investor Rights in Class Actions
April 24, 2014--NASAA: “State securities regulators are pleased that today’s decision by FINRA’s Board of Governors recognizes the danger in Charles Schwab’s attempt to unilaterally change its customer account agreements to force its clients to waive their rights to participate in class-action lawsuits."
April 24, 2014
Survey Finds Inconsistent Broker-Dealer Fee Disclosure and Questionable Markups
April 24, 2014--NASAA seeks to help industry develop model fee disclosure to help investors compare costs for services.
April 23, 2014
CSBS and NASAA Release Guidance on Virtual Currency
April 23, 2014--Model consumer guidance is designed to assist state regulatory agencies in providing consumers with information about virtual currency as well as what factors consumers should consider when transacting with or investing in virtual currencies.
April 9, 2014
NASAA President Andrea Seidt’s Remarks at NASAA’s 2014 Public Policy Conference
April 8, 2014--NASAA President Andrea Seidt discusses the SEC’s Regulation A proposal and the states’ new multi-state coordinated review program for Regulation A offerings in her opening remarks at the NASAA 2014 Public Policy Conference.
April 9, 2014
NASAA Renews Call on SEC to Revise Regulation A Rule Proposal
April 8, 2014--NASAA announces that nearly all U.S. NASAA members have officially signed a Memorandum of Understanding demonstrating their agreement to participate in NASAA’s new Coordinated Review Program for Regulation A Offerings.
April 8, 2014
NASAA President Andrea Seidt’s Remarks at the 2014 SIFMA Compliance and Legal Society Annual Meeting
April 1, 2014-NASAA President Andrea Seidt: "Our markets function most effectively when industry and regulators work together to protect and serve investors."
March 25, 2014
NASAA Urges SEC to Revise Regulation A Proposal to Remove Potential Harm to Issuers and Investors
March 25, 2014--NASAA: Proposed Rule Flouts Congressional Intent by Preempting State Authority
March 20, 2014
NASAA Public Policy Conference to Explore Challenges to Forecasting Markets and Investor Participation
March 20, 2014--Featured Speakers include SEC Commissioner Kara Stein and Sen. Joe Manchin; Panels to Focus on Bitcoins and How to Bring Main Street Investors Back to Wall Street
March 11, 2014
NASAA Members Approve Streamlined Multi-State Coordinated Review Program
March 11, 2014--States Call on SEC to Allow Small Businesses to Benefit from the Program by Removing Preemptive Language from Regulation A Proposed Rule
February 20, 2014
