Broker-Dealer
April 3, 2020
NASAA Outlines Investor Protection Concerns Amid COVID-19 Crisis in Remarks to SEC Advisory Committee
“The past few weeks have been challenging for investors, regulators, and the financial services industry. While state securities authorities are working to help financial professionals withstand current difficulties, we remain focused on our mission to protect investors,” Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities, said in remarks to the SEC’s Investor Advisory Committee.
October 6, 2005
NASAA, NASD, and NYSE Regulation Applaud SEC Approval of New, Uniform Definition of “Branch Office” and Centralized Registration System
Action to Reduce Regulatory Burden on Firms Result of Joint Initiative Washington DC and New York (October 6, 2005) — New York Stock Exchange (NYSE) Regulation, NASD and the North American Securities Administrators Association (NASAA) today applauded the U.S. Securities and Exchange Commission (SEC) for approving a common definition of “branch office” in the securities […]
Washington, DC 20002
