NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
Top 8 News Stories of the Week
By Bernice NapachThis week's biggest news stories include trading accounts for teenagers and the naming of future CEO candidates for two big banks.
September 02, 2020
NASAA Seeks More CE Course Feedback, Adopts Whistleblower ActNASAA hopes to present the proposed model CE rule to state securities regulators for a vote later this fall.
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.