2001 Headlines
April 12, 2001
Securities Industry and Regulators Launch Combined Investor Education Initiative
Group Unveils Informational Brochure On Promissory Notes Washington, D.C., April 12, 2001 – In an effort to ensure that the 78 million Americans who own securities are better informed about the ins and outs of investing, the National Association of Securities Dealers, the North American Securities Administrators Association, the Securities and Exchange Commission, and the […]
March 20, 2001
NASAA Statement on NASD Online Suitability Guidelines
(March 20, 2001) – These guidelines are an effort to strike the right balance between investor protection and marketplace and technological innovation. They do not attempt to address every possible scenario; there remains a lot of gray area. But these guidelines begin to bring needed clarity to this important area. In attempting to set out […]
March 13, 2001
State securities cops announce actions against sellers of payphone schemes
Losses estimated at $76 million so far WASHINGTON (March 13, 2001) – State securities regulators from Washington state to Florida today announced actions against individuals and companies that promised high returns from risky or fraudulent investments in pay telephones. Securities regulators in 25 states¹ and the District of Columbia participated in the crackdown, identifying nearly […]
March 1, 2001
NASAA Statement Regarding SEC Pay Parity and Reduction of Certain Fees
(March 1, 2001) – “The North American Securities Administrators Association supports congressional efforts to provide the staff of the Securities and Exchange Commission with much-needed pay parity with their counterparts at the federal banking agencies,” said Marc Beauchamp, NASAA`s executive director. State securities regulators understand the difficulties the SEC faces in recruiting and retaining a […]
January 22, 2001
