NASAA

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  2013: The Road Ahead

  By Heath Abshure, NASAA President  |  January 10, 2013

  NASAA will keep a close eye on Congress' attempts to delay or derail Dodd-Frank regs, another round of JOBS act-related legislation and an SRO for advisors.

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  Crowdfunding: What Could Go Wrong?

  By Bob Clark, AdvisorOne  |  July 5, 2012

  Is the JOBS Act’s embrace of crowdfunding a good idea? Is it what Congress meant to protect investors?

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  Best Practices for Working with Senior Investors

  By Les Abromovitz  |  January 1, 2012

  Securities examiners deal harshly with RIAs that do not fulfill their fiduciary obligations toward senior investors, as the SEC and state securities regulators view older investors as particularly vulnerable and in need of protection.

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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.

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  Why Advisors Still Aren’t Professionals

  By James J. Green, AdvisorOne  |  October 13, 2010

  You are important enough to be regulated, and the interconnectedness of the world financial system requires that you be regulated to protect consumers and that system.

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  Survey Says: Investors Are Confused About Who's a Fiduciary

  By Melanie Waddell, AdvisorOne  |  September 15, 2010

  Advisory and consumer trade groups released a joint survey on Wednesday which shows that the majority of investors are confused about which type of advisor is required to act as a fiduciary.

• Survey Says: Investors Are Confused About Who's a Fiduciary

  By Melanie Waddell, AdvisorOne  |  September 15, 2010

  The majority of investors believe all financial professionals providing investment advice should be held to a fiduciary standard

• NASAA's Crawford on State Regulation of RIAs, Fiduciary: The Weekend Interview

  By Melanie Waddell, AdvisorOne  |  August 20, 2010

  Denise Voigt Crawford, Texas Securities Commissioner and president of NASAA, says states are "ready to go" in regulating the approximately 4,000 extra advisors that will officially shift next year.

• SEC Approves Changes to Form ADV Part 2

  By Melanie Waddell, AdvisorOne  |  July 21, 2010

  The Securities and Exchange Commission (SEC) voted Wednesday, July 21, to adopt long-awaited changes to the Form ADV Part 2 used by advisors.

• SEC Plan for Bifurcated Form ADV Part 2 Is Balked at by State Regulators

  By Melanie Waddell, AdvisorOne  |  July 14, 2010

  The North American Securities Administrators Association (NASAA) is objecting to the Securities and Exchange Commission's (SEC) upcoming staff recommendation to adopt a version of Form ADV Part 2.