-
The GRIP Files: A Valerie Mirko, Armstrong Teasdale
Valerie talks about her experience in securities enforcement matters, SEC’s ‘back to basics’ approach, her work in-house and what she learned working at NASAA.
-
FINRA Annual 2025: OBAs in the spotlight
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.
-
NASAA adopts model rule update to incorporate Reg BI at state level
The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.
-
SEC Acting Chair Mark Uyeda on priorities with state security regulators
Uyeda addressed federal preemption issues and the division of jurisdiction between the SEC and states.
-
SIFMA C&L 2025 Recap: The future of US state regulation
Federal financial markets regulation is being relaxed. Will the states take up the slack?
-
NASAA releases top retail investor threat list
Annual review of risks targeting retail investors uncovers many scams targeting investors through social media platforms, by using AI, and via deepfake imagery.
-
NASAA announces $17m multi-state settlement with Edward Jones
Investigation involved 14 state regulators examining how the firm supervised the transferring of brokerage account assets into advisory accounts.
-
NASAA: Congress should have tech-neutral approach to market regulation
Bespoke laws on types and uses of specific technologies must preserve state regulatory authority to protect investors, says letter.