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Latest News
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NASAA urges Congress to pass SAFE Act and allow states to rein in fraud
NASAA asks Senate Banking Committee to preserve their police power to protect Americans from fraud, especially ones involving digital assets.
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NASAA seeks public comment on Model Advertising Rule
The model rule would harmonize state-level standards with the SEC’s Marketing Rule.
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NASAA proposes a model Franchise Broker Registration Act
NASAA’s proposal is a revised release of the Franchise Broker Act, originally issued for public comment on May 13, 2024, and includes feedback received during the initial comment period.
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NASAA advocates role of states in fighting fraud, especially in crypto
NASAA said that failing to include US states as fraud fighters would be a decision with net-negative consequences for Americans.
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NASAA member states settle with brokerage firms over excessive fees
The investigation was conducted jointly by seven state securities regulators.
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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.
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FINRA Annual 2025: OBAs in the spotlight
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.
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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.