NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
Protecting grandma from elder abuse
By Olivia MellanAbuse of older investors makes up at least a third of state regulators enforcement actions, NASAA says. Find out remedies to the situation.
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.