The North American Securities Administrators Association (NASAA) says it has reached a settlement with GSB Gold Standard Corporation AG (GS Partners or GSB Group), a Fintech and banking firm that allegedly solicited more than 800,000 investors around the world to participate in investments including digital… Read More
The North American Securities Administrators Association (NASAA) invites you to join your colleagues and peers at this year’s 2024 NASAA Fall Annual Meeting. This premier event for securities regulators and the financial services industry will be held from September 8-10 at the Westin Bayshore Vancouver… Read More
Sherwood “Woodie” Neiss, Principal and co-founder of Crowdfund Capital Advisors (CCA), has sent a letter to Congress supporting HR 2799 or the Expanding Access to Capital Act – legislation that is designed to help entrepreneurs and small businesses while boosting the economy. The letter has… Read More
Earlier this week, the North American Securities Administrators Association (NASAA) issued a comment letter criticizing the Expanding Access to Capital Act (HR 2799). This legislation was introduced into Congress last year but has yet to move forward with a Committee vote. Sponsored by the Chairman… Read More
The Securities and Exchange Commission (SEC) Office of Investor Education and Advocacy, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have jointly issued a warning regarding the rise of investment frauds involving the use of artificial intelligence (AI) –… Read More
NASAA (North American Securities Administrators Association) says there has been a decline in “top reported violations” in regard to the most recent state registered investment advisor review. NASAA collects the data every two years provided by state securities regulators. NASAA President Andrew Hartnett says the… Read More
Earlier this month, draft legislation was introduced by Congress to work towards a regulatory structure for digital assets. Last week, the North American Securities Administrators Association (NASAA) sent a letter to two House committees telling Congress they did not support the proposed rules. While most… Read More
Expanding Access to Capital Act of 2023 is JOBS Act Improvement Legislation Last week during a hearing of the House Subcommittee on Capital Formation, a discussion focused on improving access to capital for early-stage firms as well as boosting retail investment options. Entitled A Roadmap… Read More
The North American Securities Administrators Association (NASAA) has posted its annual list of top threats for retail investors. In the past, innovations like securities crowdfunding joined the group. The 2023 list leads with digital assets at the top of the list as regulators point to… Read More
The North American Securities Administrators Association (NASAA), the group that represents all state securities regulators plus provinces in Canada and states in Mexico, has announced a penalty of $10 million assessed on Robinhood (NASDAQ:HOOD). Under the terms of the settlement, Robinhood neither admits nor denies… Read More
The North American Securities Administrators Association (NASAA), along with the SEC Office of Investor Education and Advocacy, and the Financial Industry Regulatory Authority (FINRA), have published an Investor Alert cautioning individuals on Self Directed Individual Retirement Account (IRAs) that enable investors to select assets that may be… Read More
Registration is now open for the 2023 NASAA Public Policy Symposium! This year’s theme of “Working Smarter to Promote Responsible Capital Formation” promises to offer insights and knowledge that will enhance your knowledge and career. The symposium will feature a roundtable titled Planning for the… Read More
The North American Securities Administrators Association (NASAA) has issued a warning to investors regarding “investment scams and frauds offered in the unregulated metaverse.” The NASAA advisory states that the metaverse may offer investment opportunities, including virtual real estate, nonfungible tokens (NFTs) and other businesses. But… Read More
Earlier this month, the North American Securities Administrators Association (NASAA) issued an advisory cautioning the public on the rise of “Finfluencers.” NASAA is the association that represents state and provincial financial regulators. It also lobbies on behalf of state authority over securities and providers. Finfluencers… Read More
Join your North American Securities Administrators Association (NASAA) colleagues and peers at the premier event for securities regulators and the financial services industry, NASAA’s 2022 Fall Annual Meeting, which will be held, September 18-20, at the JW Marriott Nashville. The theme for this year’s Fall… Read More
BlockFi will pay each US state $943,396.22 as part of a settlement alleging the offer and sales of unregistered securities. This is according to a note from the Ohio Division of Securities, that posted a consent order this week regarding the matter. In February, it… Read More
The North American Securities Administrators Association (NASAA) is scrutinizing peer-to-peer lending. NASAA is the association and lobbying group that represents state and provincial regulators in North America. NASAA has issued a proposal on P2P lending and is seeking public comment on the Statement of Policy… Read More
BlockFi, a top crypto platform that provides crypto lending services, has settled with the Securities and Exchange Commission following an investigation into the company’s activities. The settlement was leaked last week and BlockFi will be paying a total $100 million penalties. There were no allegations… Read More
The North American Securities Administrators Association (NASAA) has published its annual list of investor lists. NASAA is the lobbying-representative group that represents state securities regulators across the US as well as provincial regulators in Canada and Mexican regulators as well. Topping the list for 2022… Read More
The program will begin with opening remarks from President Lubin. Following her will be a keynote address by Jonathan Rajewski, Managing Director of Digital Forensics and Incident Response with Stroz Friedberg. Rajewski is a recognized industry leader in the field of digital forensics who has… Read More
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