NASAA

Attention Investment Advisers: Ensure Compliance with OBA Disclosures As fiduciaries, you have a duty of loyalty to eliminate or make full and fair disclosure of all conflicts of interest resulting from outside business activities (OBAs). It’s crucial to disclose OBAs on several required regulatory forms to maintain compliance and consistency. Our latest article provides detailed guidance on where disclosures may be required on Form U4 and Form ADV Parts 1 and 2. Access comprehensive instructions and a glossary of terms in the NASAA Uniform Form Library. 🔗 Read more: https://lnkd.in/e5aBEGSp

🌟 Join Our Team! 🌟 NASAA, the oldest international organization dedicated to investor protection, is hiring for two exciting positions: Director of Education, Events, and Membership and Business Data Analyst. Interested? Learn more and apply here: https://lnkd.in/eRJqvGb Know someone who might be a great fit? Please share this opportunity! 

NASAA has released a statement on the departure of Gary Gensler as SEC chairman and Jaime Lizárraga as SEC commissioner. Details: https://lnkd.in/eqHXk-9K

** Public Comments Requested ** NASAA is seeking public comments on proposed revisions to our broker-dealer conduct rule, titled Dishonest or Unethical Business Practices of Broker-Dealers and Agents (“Conduct Rule”). 🗓️ Deadline: December 19 🔗 Details: https://lnkd.in/dxmKGCsN

Think you don’t have enough money to start investing? The truth is even $5 or $10 a week can make a difference! 💸Discover the top three myths about investing and why young adults should start investing for their future. 👉 Learn more here: https://lnkd.in/daDr23BD

**Important Update from NASAA** NASAA today announced forthcoming changes to the Electronic Filing Depository™ (EFD) in January 2025. These updates include: 🌐 Migration to the commercial cloud 🔗 A new system URL 📞 New system support contact information Stay informed by reading the full news release here: https://lnkd.in/eASVANNB

Our 2024 Enforcement Report highlights our members' commitment to protecting older investors. In 2023, state securities regulators opened 1,305 investigations and filed 131 enforcement actions involving 2,869 older investors. The top issues in these investigations were: - Internet and social media scams - Digital assets (excluding NFTs and staking) Read our report to learn more about our members’ efforts to combat investment scams targeting older investors. https://lnkd.in/e4axB2bT

Today we celebrate World Savings Day! While new and evolving financial technology offers great conveniences, please be cautious. Our investor alert shows how to protect your online accounts from potential fraud. Details: https://lnkd.in/d6Gv_E-J

Are you close to retirement? If so, it’s time to evaluate your savings to date. Our handy resource provides items to review and smart moves you can take to confidently plan your next steps. Start here: https://bit.ly/2TIyjBv

🚨 Reminder for Investment Adviser Representatives 🚨 IARs must complete IAR CE courses and IAR CE Providers must report those course completions to FINRA before the CRD system shutdown on December 26 to ensure IAR CE credits are applied before the end of the year. Avoid any impact to your IAR registrations by finishing your coursework well ahead of the deadline. For more details, click here: https://lnkd.in/ePfj4ZpQ