North American Securities Administrators Association Inc (NASAA)

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  1. Articles

    State regulators, Finra, SIFMA propose fee disclosure model for brokers

    State regulators, Finra, SIFMA say their approach would clarify charges to investors, yet commissions and advisory fees are left out of the plan.

  2. Articles

    LPL to pay $1.4 million fine and return investor money for certain nontraded REIT sales

    Broker-dealer agrees to a $1.4 million fine and will return investor money on approximately 2,000 sales of nontraded REITs. Firm also settles with states regarding leveraged ETFs.

  1. Articles

    Finra board to consider tougher expungement guidance to arbitrators

    Inserting strong language into rules, such as that wiping clean a broker's record should only be considered 'an extreme remedy,' could give it more weight.

  2. 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.

  3. 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.

  4. 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.

  5. 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

  6. 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.

  7. 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.

  8. 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.

  9. 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.

  10. 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.

  11. 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.

  12. 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.

  13. 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