North American Securities Administrators Association Inc (NASAA)

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  1. Articles

    State regulators work on uniform approach to elder financial abuse

    New measures are aimed at encouraging brokers to notify authorities when they suspect someone is trying to scam one of their clients.

  2. Articles

    State officials to flag brokers with disciplinary history selling insurance

    The National Association of Insurance Commissioners to launch program to inform state insurance officials about agents in their state who have a disciplinary history with Finra.

  1. Articles

    State regulators to require continuity plans

    Individual states will need to adopt model rules outlining policies investment advisers should have in place in case of natural disasters or death.

  2. Articles

    Senator says advisers need more protection in reporting elder financial abuse

    Federal privacy laws should be clarified to protect financial advisers who tell authorities about suspected financial exploitation of the elderly, a Senate leader on senior issues said Wednesday.Sen. Susan Collins, R-Maine, chairwoman of the Senate Aging Committee, said giving safe harbor to

  3. Articles

    State regulators name top offerings likely to hurt investors in 2015

    NASAA calls binary options, stream-of-income and marijuana schemes emerging investor threats.

  4. Articles

    Brokers charged by state securities officials see prison time rise

    Enforcement actions by NASAA members resulted in one-third-longer sentences last year over 2012.

  5. Articles

    Beatty takes reins of NASAA, focuses on protecting senior investors

    Other issues state regulators are tackling include expungement, broker fee disclosures and REIT concentration in portfolios.

  6. Articles

    Expungement reform top issue for state regulators this year

    Potential changes to the process by which brokers can remove disciplinary information from their online records are under review.

  7. Articles

    Foot-dragging on rules harms investors

    Regulators are notorious for dragging their feet, and investors suffer when new rules take too long to be finalized.

  8. Articles

    Are changes ahead in the way nontraded REITs are sold?

    Fat commissions could be trimmed if states approve regulations affecting the sale of nontraded real estate investment trusts.

  9. Articles

    Restoring investors' confidence in the markets

    The president of the North American Securities Administrators Association discusses what the financial industry needs to do to rebuild client trust.

  10. Articles

    New NASAA chief: Time to beef up the SEC

    Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down. As the newly appointed head of the North American Securities Administrators Association Inc., she wants state securities regulators to help the SEC get more federal funding and

  11. Articles

    Eyeing whether E&O should cover arb awards

    State regulators want to ensure that brokers pay arbitration awards to harmed investors, but question how.

  12. Articles

    Take 5: New NASAA president Andrea Seidt

    Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.

  13. Articles

    National online system proposed for securities offerings

    New NASAA president proposes creating a national online system for securities offerings that she says would help protect investors and at the same time help companies raise capital.