NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
January 05, 2015
Should Series Exams Be Changed? NASAA Polls Advisors, BDsNASAA is asking securities professionals to weigh in on whether changes are needed to the Series 63, 65 and 66 exams.
September 30, 2014
Prison Time for Securities Lawbreakers Jumps 33%: NASAAThe increase in jail time reflects the increasing complexity and heinousness of the crimes state securities regulators investigate, NASAA says.
September 16, 2014
Beatty Begins 1-Year Term as NASAA PresidentWilliam Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
September 10, 2014
Most State-Registered Advisors Have Tech, Cybersecurity Policies: NASAAThough less than 5% of small and midsize firms said they had a cybersecurity incident, two-thirds said they had cybersecurity policies in place.
August 19, 2014
Elder Financial Abuse Targeted by State RegulatorsSince 2008, NASAA said, more than 34% of enforcement actions by state securities regulators have involved senior victims.
May 14, 2014
NASAA Launches Multi-State Review Program for Small-Business OfferingsUnder the program, Regulation A filings can be made in one place and distributed electronically to all states, NASAA says.
April 30, 2014
5 Digital Currency Risks Investors Should Know: NASAAVolatility and lack of regulation pose several hazards for investors in virtual currencies like bitcoin, state regulators warn.
October 09, 2013
New Hire Roundup: Ohio Securities Commissioner Andrea Seidt to Lead NASAAStephanie Zaffos joined Convergent Wealth Advisors, Scivantage welcomed Jim Toussignant, and the SEC announced three staff promotions.
October 08, 2013
‘Big Switch’ RIAs Now Regulated by States Exhibit Similar Deficiencies on Exams: NASAAA NASAA report on advisors who switched from SEC to state oversight shows deficiencies similar to smaller RIAs who had been regulated by the states.
June 25, 2013
Supreme Court Backs Mandatory Arbitration; NASAA Calls for ActionAfter the decision, which backed American Express' right to bar class-action suits, Congress must "restore some vestige of consumer protection," NASAA's Heath Abshure said.