Newsroom
July 12, 2011
NASAA President Identifies Enhancements to Investor Protection Since Passage of the Dodd-Frank Act
July 12, 2011 – In testimony before the U.S. Senate Banking Committee, NASAA President David Massey today outlined the gains made in investor protection since the enactment of the Dodd-Frank Act nearly one year ago.
June 29, 2011
State Securities Regulators Announce Settlement with Raymond James in Auction Rate Securities Investigations
June 29, 2011 - NASAA today announced that a settlement in principle has been reached between Raymond James Financial Services, Inc. and state securities regulators to return approximately $300 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.
June 27, 2011
NASAA Cautions Retail Investors About Exchange-Traded Funds
June 27, 2011 – ETFs have grown increasingly popular with retail investors during the last decade, but state securities regulators note in a new investor advisory that certain ETFs may not be appropriate for long-term investors.
March 15, 2011
NASAA Files Brief in Billitteri v. Securities America
March 15, 2011 - NASAA has filed a brief in U.S. District Court Northern District of Texas Dallas Division urging the court to deny a request for a preliminary injunction to halt administrative proceedings brought by state regulators against Securities America Inc. and Securities America Financial Corporation and other defendants.
March 14, 2011
State and Provincial Securities Regulators to Convene
March 14, 2011 - Dodd-Frank implementation will take the spotlight at NASAA's Public Policy Conference in Washington, D.C., later this month.
March 10, 2011
State Securities Regulators Observe 100 Years of Investor Protection
March 10, 2011 - State securities regulators throughout the United States are observing 100 years of protecting investors. The nation’s first state securities law went into effect on March 10, 1911 in Kansas.
February 22, 2011
NASAA Reminds Investors to Investigate Before They Invest
February 22, 2011 - Sunday, Feb. 20 marked the start of America Saves Week, a seven-day campaign to encourage Americans to save for a secure retirement. NASAA urges investors to do their homework before they make any investment decisions.
February 2, 2011
NASAA Offers Pro-Investor Legislative Agenda
February 2, 2011 - NASAA's 2011 Legislative Agenda calls for Congress to continue its commitment to investors by maintaining a strong system of state and federal investor protection.
February 1, 2011
