David Massey

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  As NASAA’s New President, My Top Priorities: SRO and ‘The Switch’

  By Jack Herstein, NASAA  |  October 3, 2011

  It looks like Rep. Bachus’ draft SRO bill would nationalize the regulation of small- and mid-sized advisors. NASAA believes this would be a costly mistake that will not benefit Main Street investors.

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  Congress Urged to Preserve States' Authority in Any SRO for Advisors

  By Melanie Waddell, AdvisorOne  |  September 14, 2011

  Just as the Pennsylvania Securities Commissioner was warning members of a House subcommittee on Tuesday to not trump states’ authority in potentially requiring an SRO for advisors, the newly christened NASAA president was beating the same drum miles away.

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  NASAA Warns on Fake Facebook Friends, Offers Ways to Protect Self

  By Joyce Hanson, AdvisorOne  |  September 8, 2011

  Social networks are a prime breeding ground for con artists looking to defraud investors, warns the NASAA. Here are the red flags to spot them, and tips on protecting against them.

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  Top 10 Financial Scams: Products and Practices

  By Melanie Waddell, AdvisorOne  |  September 1, 2011

  Advisors and investors beware: Economic uncertainty and volatile stock markets breed con artists itching to trap the unwary or merely desperate.

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  House Panel Amends Bills on Private Equity Fund Advisors, Regs A, B

  By Marlene Y. Satter, AdvisorOne  |  June 23, 2011

  Changes to Regs A and B could ‘seriously jeopardize’ investor protections, NASAA’s David Massey says.

• SEC to Meet Dodd-Frank’s July Deadline on ‘Switch,’ Private Fund, Venture Fund Advisors

  By Melanie Waddell, AdvisorOne  |  May 1, 2011

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  SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors

  By Melanie Waddell, AdvisorOne  |  May 1, 2011

  The SEC says that while it will adopt final rules by July 21 implementing three provisions of Dodd-Frank involving the “switching” of advisors to state registration, as well as private fund and venture capital fund advisors’ registration with the SEC, the agency will also lengthen the date for complying with...

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  As State Securities Regulators Worry About SEC Funding, Government Shutdown Looms

  By Melanie Waddell, AdvisorOne  |  March 28, 2011

  As state securities regulators gathered at their annual public policy conference in Washington on Monday, the threat of a government shutdown looked imminent.

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  Rejection of Securities America Settlement Has Wide-Ranging Implications

  By Editorial Staff  |  March 21, 2011

  State securities regulators hail judge’s decision as protecting investors’ interests, but trouble looms for the broker-dealer, and perhaps for other BDs.

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  State Securities Regulators Lay Out 2011 Legislative Agenda

  By Melanie Waddell, AdvisorOne  |  February 2, 2011

  State securities regulators laid out their legislative agenda on Wednesday, and among their top priorities will be to fend off attempts to weaken Dodd-Frank and to “push hard” to encourage members of Congress to impose user fees on advisors to help the SEC fund advisor exams.