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NASAA Launches Online Resource Center to Help IA Firms Prepare to Switch to State Regulation

BALTIMORE, MD (September 28, 2010) The North American Securities Administrators Association (NASAA) today launched an online resource to help investment…

Panelists Announced for NASAA Annual Conference

Speakers to Spotlight Issues of Interest to Securities Regulators, Industry and Investors WASHINGTON, September 16, 2010—The North American Securities Administrators…

NASAA Statement on New Survey Showing Near Unanimous Investor Support for Fiduciary Duty Standard of Care

WASHINGTON (September 15, 2010) – The following is a statement from North American Securities Administrators Association (NASAA) President and Texas…

NASAA Urges SEC to Put Investors First in Dodd-Frank Fiduciary Study

WASHINGTON (August 31, 2010) – As the debate over financial reform shifts from Congress to regulatory agencies, the North American…

NASAA Identifies Top Investor Traps

Crawford: “Knowledge, attention to detail and a healthy sense of skepticism are a triple threat to fight investment fraud.” WASHINGTON…

NASAA To Host Annual Conference in Baltimore September 26-28

Charting a Course for the Future of Financial Regulation WASHINGTON, July 27, 2010—The North American Securities Administrators Association (NASAA) will…

State Securities Regulators Applaud Dodd-Frank Wall Street Reform and Consumer Protection Act as it is Signed into Law

Focus Now Shifts from Congress to the Rulemaking Process WASHINGTON (July 21, 2010) – The North American Securities Administrators Association…

NASAA Statement on the SEC’s Vote to Enhance Investment Adviser Disclosure

WASHINGTON (July 21, 2010) – The following is a statement from North American Securities Administrators Association (NASAA) President and Texas…

NASAA Urges Congress to Support Dodd-Frank Wall Street Reform and Consumer Protection Act Conference Report

WASHINGTON (June 29, 2010) –The North American Securities Administrators Association (NASAA) today urged Congress to support the landmark Dodd-Frank financial…

State Securities Regulators Announce Launch of Online Service Providing Background Information About Investment Adviser Representatives

WASHINGTON, D.C. (June 28, 2010) – The North American Securities Administrators Association (NASAA) today announced the launch of an enhancement…