NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
SEC, FINRA, NASAA Launch Senior Safe Act Training Program
By Melanie WaddellThe program can be used for training on how to detect, prevent and report financial exploitation of senior and vulnerable adult investors.
November 30, 2020
NASAA Adopts Rule on CE Credits for Investment AdvisorsThe group's model rule requires IARs to take 12 hours of continuing education each year.
September 02, 2020
NASAA Seeks More CE Course Feedback, Adopts Whistleblower ActNASAA hopes to present the proposed model CE rule to state securities regulators for a vote later this fall.
February 13, 2020
NASAA Proposes CE Requirement for Investment Advisor RepsThe state regulators would require 12 hours of training a year for IARs.
January 22, 2020
NASAA Names an SEC Veteran as General CounselVincente Martinez replaces Valerie Mirko, who left NASAA in October.
December 20, 2019
'Be Wary of Bond Ratings': NASAAAn advisory from the state regulators' group explains why bond ratings may still be inflated years after the financial crisis.
September 24, 2019
Creator of NJ Fiduciary Rule Takes NASAA HelmFighting securities fraud is personal to Christopher Gerold. At NASAA's conference, he told a story.
September 09, 2019
Cybersecurity Infractions on the Rise Among Advisors: NASAADeficiencies in almost every other category have decreased, said NASAA President Michael Pieciak.