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Notice of Request for Public Comments on Proposed Changes to NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule Under th... 16 Aug 2013 | 02:01 am
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized release for public comment proposed changes to the NASAA Registration Exemption for Inve...
NASAA Strongly Supports the Investor Choice Act of 2013 3 Aug 2013 | 01:10 am
Ellison Bill Would Greatly Benefit Capital Formation and Job Creation by Fostering Investor Trust, Ensures that Investors Have Access to Judicial System by Prohibiting Use of Mandatory Pre-dispute Sec...
NASAA Statement on Confirmation of Kara Stein and Michael Piwowar to SEC 2 Aug 2013 | 05:32 pm
WASHINGTON (August 2, 2013) – The following is a statement from A. Heath Abshure, President of the North American Securities Administrators Association (NASAA) and Arkansas Securities Commissioner, on...
Updated Publication Addresses Investor Confusion about Stockbrokers, Investment Advisers, and Financial Planners 30 Jul 2013 | 07:29 pm
Download: Cutting Through the Confusion (pdf) WASHINGTON, D.C., July 30, 2013—Groups representing state securities regulators and investment services providers today released an updated publication d...
Notice of Request for Public and Internal Comment on Proposed Changes to the Judgment-Lien Disclosure Reporting Page on Form U4 16 Jul 2013 | 11:41 pm
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release for internal and public comment for proposed changes to the Judgment/Lien Di...
Notice of Request for Public and Internal Comment on Proposed Changes to the Uniform Branch Registration Form (Form BR) 16 Jul 2013 | 11:13 pm
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release for internal and public comment proposed changes to the Uniform Branch Re...
NASAA Statement on SEC Decision Allowing Private Placement Advertising 10 Jul 2013 | 11:35 pm
WASHINGTON (July 10, 2013) – The following is a statement by A. Heath Abshure, president of the North American Securities Administrators Association (NASAA) and Arkansas Securities Commissioner on the...
Supreme Court Decision in American Express Case Underscores Need for Congress to Prohibit Forced Arbitration 25 Jun 2013 | 08:11 pm
WASHINGTON, D.C. (June 25, 2013) – The Supreme Court has handed large corporations a significant victory in a decision that represents a further erosion of consumer rights and underscores the need for...
Informed Investor Advisory: Energy Investments 18 Jun 2013 | 05:50 pm
With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to m...
NASAA Cautions Investors to be Wary of Speculative Energy Investments 18 Jun 2013 | 05:49 pm
June 18, 2013--With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming ...
