Newsroom
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
NASAA Annual Conference to Explore Investor Protection Amid Evolving Regulatory Landscape
September 9, 2013--Make plans now to attend NASAA's Annual Conference in Salt Lake City, Utah.
August 2, 2013
NASAA Strongly Supports the Investor Choice Act of 2013
August 2, 2013--Ellison bill would greatly benefit capital formation and job creation by fostering investor trust; ensures that investors have access to judicial system by prohibiting use of mandatory pre-dispute securities arbitration agreements.
August 2, 2013
NASAA Statement on Confirmation of Kara Stein and Michael Piwowar to SEC
August 2, 2013--NASAA congratulates Kara Stein and Michael Piwowar on their Senate confirmation to serve on the SEC.
July 30, 2013
Updated Publication Addresses Investor Confusion about Stockbrokers, Investment Advisers, and Financial Planners
July 30, 2013--Updated brochure explains the differences between brokers, investment advisers, and financial planners and identifies questions investors should ask themselves and potential providers before making a choice.
July 10, 2013
NASAA Statement on SEC Decision Allowing Private Placement Advertising
July 10, 2013--NASAA: "State securities regulators are disappointed that lifting the ban on general solicitation and advertising of highly speculative and sometimes fraudulent private placement offerings investments before approving safeguards needlessly puts investors in harm’s way."
June 25, 2013
