North American Securities Administrators Association Inc (NASAA)

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  1. 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.

  2. 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.

  1. 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.

  2. 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.

  3. 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.

  4. 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.

  5. 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

  6. 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.

  7. 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.

  8. 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.

  9. Articles

    Regulators: Don't get lost in the soup

    NASAA, SEC issue note about titles used by financial advisers amid confusion.

  10. Articles

    Arbitration bill is introduced

    Rep. Keith Ellison, D-Minn., a member of the House Financial Services Committee, has introduced legislation that would end mandatory arbitration in broker and investment adviser agreements with clients, but the bill faces an uphill battle.

  11. Articles

    Risky alt investments being probed

    The Massachusetts securities cop last week sent subpoenas to 15 brokerages as part of a probe of sales of alternatives. Here are the products the regulator is zeroing in on.

  12. Articles

    Tussle over mandatory arbitration

    The Securities and Exchange Commission may be putting off reforming mandatory-arbitration clauses in brokerage contracts, but that doesn't mean state regulators are backing off their fight to change the system.

  13. Articles

    States to midsize firms: Skip the outside help

    Midsize advisory firms that are under the oversight of state regulators don't need to hire expensive consulting firms to manage the transition, but they do need to take the transition seriously, according to Michigan's securities director.