North American Securities Administrators Association

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  Senior credentials in regulatory spotlight…again

  By Harry Lew  |  June 14, 2013

  What's behind the acronyms? Regulators want to know.

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  House bill to require SEC, DOL fiduciary collaboration

  By Melanie Waddell  |  May 16, 2013

  SEC Chairwoman White noted the DOL would “ultimately make its own independent decision” regarding its fiduciary rule.

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  Dodd-Frank: A Guide

  By Allison Bell  |  April 22, 2013

  Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010: The Insurance Provisions

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  Rep. Waters reintroduces SEC user fees bill

  By Melanie Waddell  |  April 19, 2013

  The legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.

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  State regulators to hike exam fees for Series 63, 65 and 66

  By Melanie Waddell  |  April 18, 2013

  Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.

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  Congress must fix advisor exams now: SEC’s Walter

  By Melanie Waddell  |  April 18, 2013

  Switching advisors from SEC to state oversight under the Dodd-Frank Act is not “the final answer” to ensuring advisors are adequately examined, Walter said.

• NASAA to advisors: Help seniors avoid investment traps

  By National Ethics Association  |  November 1, 2012

  To help everyone stay safe, the North American Securities Administrators Association (NASAA) has released its annual list of products that threaten to trap investors.

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  NASAA to Advisors: Help Seniors Avoid Investment Traps

  By Harry Lew  |  September 12, 2012

  The investment marketplace remains a dangerous place for unwary seniors and their advisors.

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  Bankers Life Fined By Texas Securities Board

  By Arthur D. Postal  |  September 7, 2012

  Bankers Life and Casualty Co. of Chicago and its securities affiliate have been fined by the Texas Securities Board for operating as unregistered securities dealers and investment advisors in the state.

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  Insurance Trade Groups Sound Off Again

  By Arthur D. Postal  |  August 23, 2012

  Several insurance trade groups are making clear to the new Consumer Financial Protection Bureau that while the insurance industry supports the agency’s moves to stop exploitation of seniors during the sale of financial products, the agency has no jurisdiction over insurers or agents.