NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
SEC, NASAA Issue Alerts on ESG Investing
By Bernice NapachRegulators are concerned that a lack of standards for ESG investing has led to policies and practices that can mislead investors.
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.
August 22, 2019
New Hampshire Is Latest State to Enact Bill to Protect SeniorsVirginia, Arizona and Maine have also enacted similar bills this year.
July 22, 2019
NASAA Releases Investor Alert on Opportunity Zone FundsNASAA's Michael Pieciak discusses what investors should ask before buying in.