Newsroom
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
NASAA Helps Investors Assess Risks of Peer-to-Peer Lending
December 13, 2010 – NASAA encourages investors to be mindful of the risks of online loan “matchmaking,” which is known as peer-to-peer lending, social lending, person-to-person lending or P2P.
October 20, 2010
NASAA Cautions Investors Mining for Golden Opportunities
October 20, 2010 - NASAA reminds investors to be cautious about jumping onto the gold bandwagon.
October 12, 2010
NASAA Identifies Top Broker-Dealer Compliance Deficiencies
October 12, 2010 - Based on coordinated examinations of broker-dealers throughout the United States, NASAA identified the top compliance deficiencies and offered a series of recommended best practices.
October 6, 2010
NASAA Announces Continuation of IARD System Fee Waiver
October 6, 2010 - NASAA announced it will waive the initial set-up and annual system fees paid by investment adviser firms and investment representatives to maintain the Investment Adviser Registration Depository (IARD) system.
September 28, 2010
2010 Presidential Speech, North Carolina Deputy Securities Administrator David Massey
September 28, 2010, NASAA Annual Conference, Baltimore, Maryland
September 28, 2010
