Newsroom
June 18, 2013
NASAA Cautions Investors to be Wary of Speculative Energy Investments
June 18, 2013--With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to investors and con artists alike.
June 5, 2013
Investor and Adviser Groups Voice Opposition to Weakened Fiduciary Standard
June 5, 2013-NASAA and others in a broad-based coalition call on SEC to establish a uniform fiduciary standard for broker-dealers and investment advisers that is at least as strong as the existing standard for investment advisers.
May 20, 2013
NASAA Releases Final IA Switch Report
May 20, 2013--Report documents the largest coordinated event between state and federal securities regulators.
May 8, 2013
NASAA Files Amicus Brief Supporting FINRA’s Efforts to Reverse Ruling that Allows Schwab to Deny Customer Rights
May 8, 2013--NASAA: Schwab Violated FINRA Rules by Expanding Arbitration Clause to Ban Customers From Participating in Class Actions
April 30, 2013
It Pays to Understand the Different Roles of Financial Service Providers
Download:INVESTOR ADVISORY: Financial Service Providers WASHINGTON, D.C. (April 30, 2013) – In recognition of Financial Literacy Month, the North American Securities Administrators Association (NASAA) today reminded investors of the importance of understanding the distinctions between the various types of financial professionals. “Whether you are just starting a retirement fund or need additional help with growing […]
April 19, 2013
NASAA Statement on Investment Adviser Examination Improvement Act of 2013
April 19, 2013--NASAA Supports Waters-Delaney Investment Adviser Examination Improvement Act of 2013
April 3, 2013
NASAA Public Policy Conference to Explore New Frontiers of Investor Protection
April 3, 2013--Speakers include Rep. Jim Himes, SEC Chair Elisse Walter and Political Observer James Thurber
April 2, 2013
NASAA Issues Investor Advisory on Private Placement Offerings
April 2, 2013--In advance of a federal rule to allow advertising of high-risk and potentially fraudulent private placement offerings, NASAA has issued an advisory cautioning investors about the risks these offerings carry.
March 22, 2013
NASAA to Team With AARP on Webinar
Protect Your Finances: Tips to Avoid Financial Fraud Join AARP and NASAA for a free, online interactive discussion on Tuesday, April 23, 2013, at 2 p.m. as we answer your questions about ensuring the security of your nest egg. We’ll also highlight tips to help you hang on to your hard-earned money, including: Spotting common […]
March 19, 2013
