NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
December 31, 2011
How can investment advisors minimize regulatory risk?The following list is the North American Securities Administrators Association’s (NASAA) recommendations for the best practices that investment advisers…
October 14, 2011
Slew of Advisor Violations Found by State RegulatorsA series of coordinated exams of 825 investment advisors by 45 state and provincial securities examiners between Jan. 1 through June 30 of this year uncovered 3,543 deficiencies in 13 compliance areas.
April 28, 2011
In Securities America Case, States and NASAA Dispute Limits on LawsuitsMassachusetts, Montana and NASAA took action on Thursday to prevent any restrictions on lawsuits associated with two private-placement sales by Securities America, which was put up for sale by Ameriprise Financial on Monday.
February 02, 2011
State Securities Regulators Lay Out 2011 Legislative AgendaState securities regulators laid out their legislative agenda on Wednesday, and among their top priorities will be to fend off attempts to weaken Dodd-Frank and to “push hard” to encourage members of Congress to impose user fees on advisors to help the SEC fund advisor exams.
October 06, 2010
The State Perspective: Massey on the New Form ADV Part IINASAA recommends that states that have adopted the Form ADV for use in the investment advisor registration process and for disclosure purposes should begin using the new Part 2 according to a specific schedule.
June 15, 2010
For Reform Bill, NASAA and CFA Make Last-Minute Fiduciary BidsAs the House and Senate conferees ready to debate the fate of the fiduciary standard on Wednesday, June 16, industry groups are making last-ditch efforts to convince lawmakers to apply fiduciary duty to brokers.
April 26, 2010
Warning: Scammers' 5 biggest threats to your clientsNASAA's five scams to help guard your clients from.
February 01, 2010
Free-lunch seminars in the spotlight ... againFor the last few years, regulators have been targeting free-lunch seminars as potential vehicles for senior financial abuse.
January 31, 2010
Free-lunch seminars in the spotlight ... againFor the last few years, regulators have been targeting free-lunch seminars as potential vehicles for senior financial abuse.
January 01, 2010
How to stay out of hot waterIf you're registered as an investment advisor, you'd best pay attention to