Displaying 229 results
NASAA worried about reform efforts
State securities regulators are fretting that efforts to reform regulation in the wake of the financial crisis might be used to further a deregulatory environment.
Look before leaping, state regulators say
The North American Securities Administrators Association Inc. of Washington has issued a statement warning investors not to take hasty actions in light of the turmoil in the markets.
NASAA seeks comments for proposed RIA rules
Clients would have to have a net worth of at least $1.5 million for investment advisers to charge them performance fees.
Regulators act to protect seniors
The SEC, FINRA and NASAA will seek input on firms’ best practices to protect senior investors.
NASAA issues legislative wish list
Defending state regulatory jurisdiction from pre-emption by the feds is the top priority for state securities regulators this year.
NASAA slams talk of regulatory overhaul
The association strongly recommended leaving the current regulatory structure as is.
NASAA prez worried about small investors
“It's imperative that the industry stay focused on delivering services to the retail market,” said Karen Tyler.
Casey: State, Feds need to cooperate
SEC commissioner Kathleen Casey questioned whether a strict regulatory climate is harming U.S. competitiveness.
NASAA moves against bogus designations
Joseph Borg is announcing NASAA's plans at a hearing today held by the Senate Special Committee on Aging.
