Newsroom
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
NASAA Statement on SEC Approval of FINRA Arbitration Proposal
February 1, 2011 - NASAA issued a statement following the Securities and Exchange Commission's approval of FINRA's proposal to allow investors filing arbitration claims to have the option of choosing an all-public panel of arbitrators.
January 31, 2011
NASAA Helps Prospective Entrepreneurs Evaluate Franchise Opportunities
January 31, 2011 - NASAA cautions investors to be mindful of the risks and realities of franchising.
January 24, 2011
NASAA Statement on SEC Study on the Obligations of Brokers, Dealers and Investment Advisers
January 24, 2011 – NASAA issued a statement following the release of a study by the Securities and Exchange Commission staff examining the obligations of brokers, dealers and investment advisers.
January 20, 2011
NASAA Statement on SEC Study on Investment Adviser Oversight
January 20, 2011 - NASAA issued a statement following the release of a study by the Securities and Exchange Commission staff examining the regulatory oversight of investment advisers.
January 18, 2011
NASAA Statement on GAO Financial Planner Study
January 18, 2011 - NASAA issued a statement regarding the release today by the Government Accountability Office of its report, "Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues Remain."
December 13, 2010
