NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
May 22, 2019
NASAA Adopts Cyber, Privacy Model Rule, Releases Annual ReportNASAA is also exploring a continuing education requirement for IARs.
November 26, 2018
NASAA Keeps Waiver, Exam Fees the Same for 2019Enrollment fees for the NASAA Series 63, 65 and 66 exams will stay at last year's levels.
October 15, 2018
NASAA Warns of Marijuana-Related Crowdfunding ScamsCrowdfunding capital-raising model used to persuade potential investors to fund a marijuana business can be risky due to capitalization issues, NASAA warns
October 15, 2018
SEC Does Not 'Dictate' Cyber Controls, Cyber Chief SaysThe SEC is more focused on preparedness, cyber chief Robert Cohen said at a NASAA Cybersecurity Roundtable.
October 12, 2018
State Enforcement Actions Spark Jump in Jail TimeState securities regulators brought enforcement actions last year resulting in 1,985 years of prison time and probation, a 47% increase over the prior year.
October 05, 2018
'Heightened Supervision' Plans Are a Must for BDs: NASAAIn coordinated exams, state securities regulators found that 90% of examined firms with a registered reps on a heightened supervision plan reported no complaints against that rep.
September 24, 2018
NASAA Seeks Comments on Cybersecurity Model RuleNASAA proposed a model rule on information security that would encompass both cybersecurity and physical security.
May 21, 2018
State Regulators Bust ICOs in 'Operation Cryptosweep'NASAA said the sweep was one of the largest coordinated series of enforcement actions in North America on ICOs and related cryptocurrencies.
May 07, 2018
NASAA Releases Snapshot of State Advisor Landscape, Including Top Exam InfractionsAt public policy event, NASAA President Joe Borg shares his views on cyber, cryptocurrencies, fintech and other hot topics.
March 08, 2018
NASAA Cautions Investors Against Unicorn CompaniesAn advisory from NASAA notes that investing in unicorns is speculative and generally unavailable to retail investors.