NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
Registered Advisors Hit by More State Enforcement Actions in 2015: NASAA Survey
By Melanie WaddellNASAAs just-released enforcement survey notes high percentage of frauds were perpetrated in 2015 through the internet and via CPAs and lawyers.
January 07, 2016
Patty Struck, Wisconsin Securities Administrator, DiesThe past NASAA president and board member is remembered for her "quiet, thoughtful leadership."
October 02, 2015
NASAA gets new president, floats elder financial abuse ruleLike a rule proposed recently by FINRA, NASAA's plan allows BDs and advisors to delay disbursement of funds when financial exploitation against seniors is suspected.
October 02, 2015
NASAA gets new president, floats elder financial abuse ruleLike a rule proposed recently by FINRA, NASAA's plan allows BDs and advisors to delay disbursement of funds when financial exploitation against seniors is suspected.
September 23, 2015
NASAA: States Doled Out $579M in Enforcement Penalties in 2014Private placement offerings, real estate investments and crowdfunding were ripe areas for fraud, state securities regulators reported.
June 18, 2015
Combating Elder Abuse Requires More Than Raising AwarenessNASAA is drafting model legislation to address how broker-dealers and advisors should respond when they suspect or detect senior financial exploitation.
April 28, 2015
NASAA Adopts Model Succession Plan RulesThe rules are meant to be a roadmap for states. The SEC is developing its own succession planning rules for RIAs.
April 10, 2015
Protecting grandma from elder abuseAbuse of older investors makes up at least a third of state regulators enforcement actions, NASAA says. Find out remedies to the situation.