NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
NASAA Plans 2023 Push for Bad Actors Database
By Melanie WaddellState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
September 23, 2022
6 Fraud Schemes That Were Busted by State RegulatorsNASAA's 2022 report highlighted frauds involving oil and gas, real estate and Match.com.
September 21, 2022
NASAA Selects Andrew Hartnett as New PresidentHartnett, deputy administrator for securities for the Iowa Insurance Division, will serve a one-year term.
September 05, 2022
More States Adopt Advisor CE RequirementsWhile many jurisdictions have adopted rules similar to the NASAA model rule, rules vary from state to state.
August 05, 2022
NASAA Extends Comment Period on REIT ProposalThe comment period has been extended another 30 days.
August 01, 2022
FINRA Seeks to Rein In a Common Expungement TacticFINRA believes straight-in expungements are problematic because they are granted at a higher rate.
July 25, 2022
NASAA Wants to Align REIT Policy With Reg BIThe policy, which includes conduct standards for brokers selling non-traded REITs, hasn't been updated since 2007.
May 17, 2022
More Reg BI Rollover Guidance Likely on Its Way: SEC ChiefThe agency may elaborate on guidance it gave in March, Gary Gensler said at a NASAA conference.