Uncategorized
March 7, 2018
Informed Investor Advisory: Unicorns
Unicorns are not just the stuff of fairy tales; some financial unicorns exist today. But investing in unicorns is speculative, and generally is unavailable to retail investors. Retail investors looking to bet on a unicorn may be able to do so indirectly through a mutual fund, exchange-traded fund or business development company. But beware; investing in unicorns is risky. This investment may bite.
December 13, 2017
NASAA Announces Current and Emerging Investor Threats
December 13, 2017--Promissory Notes, Real Estate Investments and Ponzi Schemes Top the List; ICO's and Cryptocurrency CFDs Identified as Emerging Threat
June 23, 2017
Remarks of NASAA President Mike Rothman at NASAA’s 2017 Cybersecurity Roundtable
June 23, 2017--NASAA President Mike Rothman opens NASAA's Cybersecurity Roundtable in Washington, D.C.
May 2, 2017
NASAA Statement on Confirmation of Jay Clayton as SEC Chairman
May 2, 2017--Rothman: "We look forward to working with Chairman Clayton to advance our shared mission to protect investors and the integrity of the securities markets. This mission is critical to Main Street investors who need safe and secure investment opportunities for their families and retirement.”
April 28, 2017
NASAA Urges Congress to Remember Lessons Learned From Financial Crisis Before Weakening Investor Protections Through Financial CHOICE Act
April 28, 2017--In testimony before the House Committee on Financial Services, the North American Securities Administrators Association (NASAA) today urged Congress to remember the lessons learned from the financial crisis of 2008 as it considers provisions in the Financial CHOICE Act that will weaken critical investor protections.
June 2, 2015
NASAA General Counsel Position Announcement
The North American Securities Administrators Association (NASAA) seeks a General Counsel to serve both a policy and legal role at NASAA. As the director of the NASAA legal department the General Counsel is responsible for providing advice to the NASAA leadership and managing up to 3 attorneys and 1 support staff in carrying out specific legal […]
January 28, 2015
Informed Investor Advisory: Cybersecurity
The list of financial institutions targeted by organized cyber attacks continues to grow with ever-increasing frequency. Since investors are encouraged to take steps to ensure their own personal systems are updated with the latest anti-virus and anti-malware software, and to follow proper account password safety protocol, they generally trust their investment professionals to do the same on their behalf. But do they?
September 29, 2014
States Report Increase in Prison Time for Securities Law Violators
September 29, 2014--Aggressive Enforcement By State Securities Regulators Brings Criminals to Justice
April 23, 2014
CSBS and NASAA Release Guidance on Virtual Currency
April 23, 2014--Model consumer guidance is designed to assist state regulatory agencies in providing consumers with information about virtual currency as well as what factors consumers should consider when transacting with or investing in virtual currencies.
October 7, 2013
