Newsroom
September 23, 2010
State Regulators Announce Representatives for the Financial Stability Oversight Council
September 23, 2010 - The organizations representing the nation’s state financial regulators today announced their representatives to serve on the Financial Stability Oversight Council (FSOC).
September 16, 2010
Panelists Announced for NASAA Annual Conference
September 16, 2010 - NASAA announces the lineup of speakers and panels for its upcoming annual conference in Baltimore, Maryland.
September 15, 2010
NASAA Statement on New Survey Showing Near Unanimous Investor Support for Fiduciary Duty Standard of Care
September 15, 2010 - NASAA issues a statement following the release of a survey showing that investors nearly unanimously believe that when they receive investment advice from a financial professional, the person providing the advice should put investor interests ahead of their own.
August 31, 2010
NASAA Urges SEC to Put Investors First in Dodd-Frank Fiduciary Study
August 31, 2010 - NASAA urges the SEC to put investors first by extending the fiduciary duty to all who provide investment advice about securities.
August 13, 2010
NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors
August 13, 2010 - The SEC, FINRA and NASAA issue an updated joint report that outlines practices being used by financial services firms to strengthen their policies and procedures for serving senior investors as they approach and begin retirement.
August 3, 2010
NASAA Identifies Top Investor Traps
August 3, 2010 - NASAA releases its annual list of traps that cautious investors should avoid when seeking to jump-start their investment portfolios.
July 27, 2010
NASAA To Host Annual Conference in Baltimore September 26-28
July 27, 2010 - The three-day conference will offer attendees an opportunity to take advantage of expert insight into the changes on the horizon for regulatory structures and industry practices.
July 21, 2010
State Securities Regulators Applaud Dodd-Frank Wall Street Reform and Consumer Protection Act as it is Signed into Law
July 21, 2010 - NASAA commended the act for recognizing and enhancing the strong investor protection role of state securities regulators.
July 21, 2010
NASAA Statement on the SEC’s Vote to Enhance Investment Adviser Disclosure
July 21, 2010 - NASAA issues a statement following the vote by the SEC to adopt amendments to Part 2 of Form ADV and related rules.
July 21, 2010
