NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
House Passes Bill to Fund State Efforts to Protect Older Investors
By Melanie WaddellHouse also passed The Small Business Mergers, Acquisitions, Sales, and Brokerage Act.
November 05, 2021
Reg BI Report Zooms in on BDs' Lack of ComplianceA NASAA report finds 65% of firms aren't discussing lower-cost or lower-risk products with clients when recommending these product types.
October 06, 2021
NASAA Wants to Rein in Advisors Who Fail to Pay Arb AwardsPublic comments are sought about model rules that could prompt enforcement actions by NASAA members against violators.
October 01, 2021
State Securities Regulators Report Tripling of Digital Asset Enforcement ActionsRegulators also reported almost twice as many cases involving self-directed IRAs in 2020 as a year earlier, according to NASAA.
September 22, 2021
Self-Directed IRA Scams Are on the Rise, State Securities Regulators WarnLawmakers will join NASAA to examine policy solutions around self-directed IRAs.
September 21, 2021
State-Registered Advisors Lack Policies to Protect Seniors: NASAA ReportAdvisors "must make improvements in recognizing and reporting cases of suspected abuse," said Lisa Hopkins, NASAA president.
August 30, 2021
Consumer Federation of America Starts Search for Roper's ReplacementMike Canning, director of policy at NASAA, will be joining the consumer group in a consulting capacity.
August 12, 2021
Maryland Securities Commissioner Lubin Elected NASAA PresidentLubin will assume the new role on Sept. 21.