Newsroom
November 22, 2013
NASAA Statement on SEC Investor Advisory Committee’s Support for Fiduciary Duty for Broker-Dealers
November 22, 2013--State securities regulators strongly support the recommendations of the SEC’s Investor Advisory Committee to extend a fiduciary duty to broker-dealers when they provide personalized investment advice to retail investors, and to call for legislation to fund investment adviser examinations. NASAA encourages the SEC and Congress to take swift action on each of these important recommendations.
October 31, 2013
States Report Increased Withdrawals of Licenses of Unscrupulous Brokers, Investment Advisers
October 31, 2013--NASAA Enforcement Report Details Investor Protection Role of State Securities Regulators
October 30, 2013
NASAA Outlines Plan for Streamlined State Review of JOBS Act-related Multi-State Offerings
October 30, 2013--New system would ease regulatory compliance costs on small companies attempting to raise capital under a provision of the Jumpstart Our Business Startups (JOBS) Act.
October 23, 2013
NASAA Encourages Congress to take ‘Balanced Approach’ to Capital Formation Proposals to Restore Investor Confidence
October 23, 2013--NASAA: “What we need is smarter regulation, not merely deregulation.”
October 23, 2013
NASAA Announces IARD System Fee Waiver for Investment Adviser Firms
October 23, 2013--Reduced System Fees Continued for Investment Adviser Representatives
October 15, 2013
NASAA Expands Annual Top Investor Threat List
October 15, 2013--JOBS Act implementation prompts additions of threats to small business owners.
October 8, 2013
Ohio Securities Commissioner Andrea Seidt to Lead NASAA
October 8, 2013--Seidt Says NASAA Agenda to Continue Focus on “Smarter Regulation” Balancing Investor Protection and Capital Formation
October 8, 2013
2013 Presidential Address: Andrea Seidt Ohio Securities Commissioner
October 8, 2013--NASAA President Andrea Seidt's inaugural speech at NASAA's annual conference in Salt Lake City, Utah.
October 7, 2013
NASAA Reports Similarities in Deficiencies Among Existing and Switching Investment Advisers
October 7, 2013--NASAA reports little difference in the type or frequency of deficiencies between existing state investment and those advisers who switched from federal to state oversight as a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
September 9, 2013
