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News and updates from the ASA Newsroom. For press inquiries, contact Adam Rice, ASA's head of Public Affairs.

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Jul 9
2 min

ASA Sends Letter to SEC Highlighting Risks to Investors from Chinese Companies

The integrity of our markets requires the SEC to protect retail investors in the U.S. from Chinese companies that are outright frauds.

Jun 26
2 min

ASA Urges SEC to Rescind Muni Advisor Regulatory Rollback

The ASA strongly opposes this initiative and urges the Commission to swiftly rescind the Order.

Apr 29
5 min

ASA Challenges SEC’s Regulation By Enforcement

The need for our government to set forth consistent, predictable rules has never been greater

Apr 23
2 min

ASA Urges SEC to Extend Market Data Infrastructure Comment Period

This is an important rulemaking that deserves thoughtful input from all stakeholders

Apr 20
2 min

SEC and FINRA Should Harmonize Rules Around Reg BI

Reg BI is a strong national standard that includes significant investor protections and establishes clear rules for broker-dealers

Apr 1
2 min

ASA Calls on Fed to Establish “Main Street” Credit Facility

This decision would support America’s Main Street economy by ensuring credit flows to where it’s needed most across our country

Mar 5
2 min

SEC Must Prioritize Investor Protections Before Expanding Direct Listings

The SEC was created to restore investor trust and confidence in America’s capital markets following a period of widespread fraud and abuse

Feb 13
2 min

ASA Urges SEC to Halt Muni Advisor Regulatory Rollback

This kind of deregulation would favor undercapitalized municipal advisors over America’s highly regulated broker-dealers.

Feb 10
2 min

Chinese Military Indicted in Equifax Breach Shows SEC Must Act to Protect Investors

There is no compelling government reason for the SEC CAT database to expose American investors to identity theft.

Feb 4
2 min

ASA Supports SEC’s Corporate Governance Reforms

Highlights BlackRock’s growing market power and its effect on American investors

Jan 23
2 min

ASA Urges SEC to Act on Market Structure Innovation

The SEC has missed several opportunities to implement reforms that have the longstanding support of a broad spectrum of market participants.

Jan 10
2 min

FINRA Customer Beneficiary Proposal Improves Investor Protections

ASA strongly supports efforts by FINRA and the SEC to enforce rules that prevent unscrupulous actors from taking advantage of their clients

Jan 7
2 min

ASA Urges Massachusetts to Adopt SEC’s National Reg BI Standard

The Division should refrain from imposing a standard that is unworkable and inconsistent with the national standard.

Dec 13, 2019
2 min

Expanding Direct Listings Would Weaken Investor Protections

While direct listings to raise primary capital may sound good in theory, the reality is that the practice circumvents the diligence process

Dec 6, 2019
2 min

SEC’s Muni Advisor Regulatory Rollback Would Undermine Investor Protections

The regulatory exemption for municipal advisors in this proposal will gut needed investor protections.

Nov 7, 2019
3 min

ASA Calls on FSOC to Protect the Personal Data of Every American Investor

The selection of AWS as cloud service provider for the CAT is extremely concerning given AWS’ role in the recent data breach at Capital One

Oct 24, 2019
2 min

ASA Commends SEC Efforts to Modernize Corporate Disclosure Process

We commend the Commission for prioritizing the modernization of our securities laws and eliminating outdated or duplicative regulations.

Jul 31, 2019
2 min

ASA Submits Comment Letter to SEC on Proposal to Help Revitalize IPO Market

ASA supports the proposal to help revitalize the IPO market and meet the needs of America’s capital markets.

Jun 14, 2019
1 min

New Jersey Must Adopt SEC’s National Reg BI Standard

Adopting a different approach from the SECs national standard will confuse residents, financial professionals, and firms in New Jersey.

May 18, 2019
2 min

ASA Calls on SEC Commissioners to Protect Americans From Identity Theft

The SEC can get the CAT up and running and better protect investors without sacrificing the identity and data privacy of the American people

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