Newsroom
December 1, 2011
NASAA: States Best Positioned to Oversee Small Business Capital Formation
December 1, 2011 - NASAA today said states should be the primary regulator of small business capital formation, including crowdfunding offerings.
November 29, 2011
State Securities Regulators Launch Coordinated Review Program for Investment Advisers
November 29, 2011 - NASAA has developed a coordinated review program for investment advisers switching from federal to state securities regulatory oversight as mandated by Dodd-Frank.
November 9, 2011
NASAA Sends Cease-and-Desist Letter to Copycat Website
November 9, 2011 - NASAA announced today that it has demanded the operator of the “State Securities Commission” website cease operations after it was learned that the website appeared to have been designed to dupe investors.
October 24, 2011
State Securities Regulators to Explore Steps to Help Small and New Businesses Raise Investment Capital
October 21, 2011 - NASAA today announced the formation of a committee to examine and propose steps that state securities regulators can take to help small and new businesses raise investment capital.
October 19, 2011
State Securities Regulators Announce Settlement with E*TRADE in Auction Rate Securities Investigations
October 19, 2011 - NASAA today announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.
October 19, 2011
Report Spotlights Strong Investor Protection Record of State Securities Regulators
October 19, 2011 - NASAA today reported a 51 percent increase in the number of enforcement actions by state securities regulators in 2010, which led to a nearly 200 percent increase in the amount of money ordered returned to investors.
October 12, 2011
NASAA Launches New Website
October 12, 2011 - NASAA's newly redesigned website features improved navigation, a multimedia spotlight area and enhanced search functionality with a clean, modern look.
October 3, 2011
Coordinated State Exams Identify Top Investment Adviser Deficiencies
October 3, 2011 - As state securities regulators prepare to assume increased regulatory oversight of investment advisers managing under $100 million in assets, NASAA released an updated series of recommended best practices that investment advisers should consider to minimize the risk of regulatory violations.
September 21, 2011
Capital Formation Proposals Must Not Weaken Investor Protection
September 21, 2011 - Arkansas Securities Commissioner Heath Abshure outlined the unintended consequences investors could face from legislative efforts to loosen regulations on how new and small businesses raise money.
September 16, 2011
