North American Securities Administrators Association Inc (NASAA)
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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.
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
State regulators name top offerings likely to hurt investors in 2015
NASAA calls binary options, stream-of-income and marijuana schemes emerging investor threats.
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.
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.
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.
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.
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.
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.
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
Eyeing whether E&O should cover arb awards
State regulators want to ensure that brokers pay arbitration awards to harmed investors, but question how.
Take 5: New NASAA president Andrea Seidt
Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.
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.
Regulators: Don't get lost in the soup
NASAA, SEC issue note about titles used by financial advisers amid confusion.
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.