All: 2005 Headlines

State Securities Regulators Remind Investors to Do Their Homework Before Investing in 529 College Savings Plans

WASHINGTON (December 22, 2005) —As the year draws to a close, many investors are making decisions for their long-term financial goals, including saving for college through Section 529 College Savings plans. With increasing numbers of investors turning to these plans to help finance higher education costs, state securities regulators are concerned that they may not […]

2005 Headlines, Investor Alerts & Tips, Newsroom, Youth & Educators Read more

Regulators Urge Investors to Carefully Check Credentials of 'Senior Specialists'

WASHINGTON, DC (December 12, 2005) —The North American Securities Administrators Association (NASAA) today urged seniors to carefully check the credentials of individuals holding themselves out as “senior specialists.” “Individuals may call themselves ‘senior specialists’ to create a false level of comfort among seniors by implying a certain level of training on issues important to the […]

2005 Headlines, Newsroom, Senior News & Alerts, Seniors Read more

Regulators Urge Investors to Carefully Check Credentials of ‘Senior Specialists’

WASHINGTON, DC (December 12, 2005) —The North American Securities Administrators Association (NASAA) today urged seniors to carefully check the credentials of individuals holding themselves out as “senior specialists.” “Individuals may call themselves ‘senior specialists’ to create a false level of comfort among seniors by implying a certain level of training on issues important to the […]

2005 Headlines, Newsroom, Senior News & Alerts, Seniors Read more

Panelists Set For NASAA Forum on Naked Short Selling

Experts to Gather November 30 in Washington WASHINGTON (November 22, 2005) —The North American Securities Administrators Association, Inc., (NASAA) today announced participants for its upcoming “NASAA Listens” Forum to explore possible market manipulation through naked short selling activity. The forum is scheduled for November 30 from 1 p.m. to 3 p.m. at the Paris Ballroom […]

2005 Headlines, Newsroom Read more

NASAA to Host Forum on Naked Short Selling

Experts to Examine Efforts to Curb Market Manipulation by Stemming Abusive Naked Short Selling Activity WASHINGTON (November 17, 2005)—The North American Securities Administrators Association, Inc. (NASAA) today announced plans to host a public forum to explore possible market manipulation through naked short selling activity. The “NASAA Listens” Forum is scheduled for November 30 from 1 p.m. […]

Read more

SEC, NASAA Announce IARD System Fee Waiver

WASHINGTON, D.C. (October 7, 2005) —The U.S. Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) today announced a one-year waiver of certain system fees paid by investment advisers and all investment adviser representatives for registration in the Investment Adviser Registration Depository (IARD) program. Separately, NASAA also announced that it is […]

Read more

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 […]

Read more

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 […]

Read more

NASAA Sweep Identifies Investment Adviser Problems

State Securities Regulators Also Propose Best Practices MINNEAPOLIS, MINNESOTA (September 13, 2005) – The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices for investment advisers to consider in order to improve their compliance practices and procedures. NASAA President Patricia D. Struck said the best […]

Read more

Incoming NASAA President Struck to Stress Respect and Collaboration

“We must share a high level of respect for investors” MINNEAPOLIS, MINNESOTA (September 13, 2005) – Patricia D. Struck, Administrator of the Wisconsin Division of Securities, today was named to a one-year term as President of the North American Securities Administrators Association (NASAA), succeeding Franklin L. Widmann, Chief of the New Jersey Bureau of Securities. […]

Read more