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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.
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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.
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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?
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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.
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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.
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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.
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Crypto firm settles charges for its interest feature on crypto asset accounts
The SEC and a multistate taskforce charge TradeStation Crypto Inc. for failing to register the offer and sale of a crypto lending product.
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SIFMA: NASAA’s proposed revisions to its BD model rule conflict with Reg BI
SIFMA submits a sternly worded comment letter to NASAA on its proposed revisions to its model rule related to broker-dealer business conduct.