Uncategorized
September 29, 2021
NASAA Releases Annual Enforcement Report
The North American Securities Administrators Association (NASAA) today released its annual enforcement report, which shows increasing numbers of investigations and enforcement actions taken by state securities regulators involving digital assets, precious metals, social media, and self-directed individual retirement accounts to protect investors and maintain the integrity of the nation’s financial markets in 2020.
September 28, 2021
FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection
In a combined effort to provide additional protection for investors, FINRA and the North American Securities Administrators Association (NASAA) today announced a new campaign urging investors to provide their financial firms with a trusted contact.
September 23, 2021
North American Securities Administrators Association Announces 2021 Award Recipients
The North American Securities Administrators Association (NASAA) announced its 2021 NASAA award recipients during its Fall Annual Meeting in Chicago, September 19-21. Awardees were recognized for their outstanding contributions to investor protection and state securities regulation.
September 21, 2021
Maryland Securities Commissioner Melanie Senter Lubin Takes Helm as 104th President of North American Securities Administrators Association
Maryland Securities Commissioner Melanie Senter Lubin began her one-year term this afternoon as the 104th president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation, during the organization’s Fall Annual Meeting.
September 21, 2021
2021 NASAA Presidential Address: Melanie Senter Lubin, Maryland Securities Commissioner
September 21, 2021: President Melanie Senter Lubin's Inaugural Address at NASAA's 2021 Annual Meeting in Chicago, Illinois.
September 20, 2021
State Investment Adviser Examinations Sweeps Uncover Deficiencies in Policies To Protect Seniors And Vulnerable Persons
A series of 1,206 coordinated examinations of state-registered investment advisers by state securities examiners showed that nearly 59 percent of investment advisers did not have policies or procedures in place for addressing the financial exploitation of seniors or vulnerable persons, the North American Securities Administrators Association (NASAA) announced.
September 20, 2021
North American Securities Administrators Association Approves Statement on Diversity, Equity and Inclusion
The North American Securities Administrators Association (NASAA), the organization of U.S. state securities regulators, securities regulators in Washington, D.C., Puerto Rico, the U.S. Virgin Islands and securities regulators in Canada and Mexico announced that its members approved a Diversity, Equity and Inclusion (DEI) statement during its Fall Annual Meeting.
April 9, 2019
Informed Investor Advisory: Robo-Advisers
Easy-to-use smartphone apps and online portals make setting up an account with a robo-adviser convenient and quick, which is contributing to their increasing popularity. For those considering a robo-adviser, it is best to take it slow and ensure this type of service meets your short- and long-term investing needs.
September 23, 2018
Request for Public Comment Regarding a Proposed IA Model Rule for Information Security and Privacy Under the Uniform Securities Acts of 1956 and 2002
September 23, 2018 Download: Notice of Request for Public Comment The North American Securities Administrators Association, Inc. (NASAA) is requesting public comment on a proposed investment adviser model rule to address information security and privacy, a proposed amendment to the investment adviser NASAA model Recordkeeping Requirements rule, and a proposed amendment to the NASAA model […]
June 13, 2018
