WASHINGTON (December 23, 2003) – The North American Securities Administrators Association (NASAA) today named John H. Hanley as Executive Director, effective January 5. “On behalf of NASAA’s Board of Directors, I am pleased that John will join us in this key position and am confident that his leadership and extensive knowledge of financial issues will [...]
NASAA Urges Congress to Strengthen Mutual Fund Legislation WASHINGTON (November 4, 2003) — The nation’s top state securities regulator today praised the efforts of state and federal regulators as they advance ongoing investigations into trading practices in the $7 trillion mutual fund industry and urged Congress to strengthen legislation to protect the nation’s 95 million [...]
More Detail Provided on Scope of Tests; Content, Cost Unchanged WASHINGTON (November 3, 2003) – The North American Securities Administrators Association (NASAA) today announced upgrades to specifications for two of its exams: the Series 65 exam, which individuals must pass before being licensed as investment adviser representatives by state securities regulators, and the Series 66, [...]
WASHINGTON (October 31, 2003) – NASAA President Ralph A. Lambiase today said state securities regulators are pleased that the Honorable William H. Pauley III, United States District Judge for the Southern District of New York, has approved the historic $1.4 billion global settlement of enforcement actions against 10 major Wall Street firms. “This settlement represents [...]
WASHINGTON (September 30, 2003) —The following is a statement by Ralph A. Lambiase, President of the North American Securities Administrators Association (NASAA) and Connecticut Securities Director, regarding the Securities and Exchange Commission’s staff report “The Implications of the Growth of Hedge Funds.” NASAA was founded in 1919 and is the voice of securities agencies responsible [...]
WASHINGTON (September 24, 2003) -The following is a statement by Ralph A. Lambiase, President of the North American Securities Administrators Association (NASAA) and Connecticut Securities Director, regarding the multi-state enforcement action announced today by securities regulators in Alabama, Massachusetts, Oklahoma and Puerto Rico. This enforcement action targets an “advance fee” scheme that allegedly defrauded individuals [...]
New NASAA President Ralph A. Lambiase pledges to focus on increasing cooperation among regulators, maintaining state authority, advancing shareholders’ rights, and examining arbitration CHICAGO (September 16, 2003) – Ralph A. Lambiase, Connecticut’s Director of Securities, today was named President of the North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators in [...]
Joint Initiative Will Develop Best Practices for Coordination of Federal and State Enforcement Activities Washington, D.C. (September 14, 2003) — Securities and Exchange Commission Chairman William H. Donaldson and NASAA President Christine A. Bruenn today announced a joint initiative to address issues of coordination and cooperation between federal and state securities enforcement authorities. The initiative [...]
State Regulators Announce Initiatives to Help Seniors Weather Dangerous Times WASHINGTON (September 4, 2003)– Volatile stock markets, record low interest rates, rising health care costs, and increasing life expectancy, have combined to create a perfect storm for investment fraud against senior investors, state securities regulators warned today. The North American Securities Administrators Association (NASAA), which [...]
WASHINGTON (July 14, 2003) –The following is a statement by Christine A. Bruenn, President of the North American Securities Administrators Association (NASAA), regarding the enforcement action against Morgan Stanley announced today by Massachusetts Secretary of State William F. Galvin and New York State Attorney General Eliot Spitzer. The oldest international organization devoted to investor protection, [...]
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