All: 2007 Headlines

NASAA To Outline Efforts to Protect Seniors from Misleading ‘Free Lunch’ Investment Seminars and Professional Designations

NASAA President Joseph P. Borg to Testify Before U.S. Senate Special Committee on Aging WASHINGTON, D.C. (August 30, 2007) – North American Securities Administrators Association (NASAA) President and Alabama Securities Commission Director Joseph P. Borg will discuss ongoing efforts of state securities regulators to protect senior investors from misleading “free lunch” seminars and professional designations […]

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NASAA and NAA Foundation Launch 'FSI: Fraud Scene Investigator'

New Online Investor Education Program Teaches Students to Fight White-Collar Crime WASHINGTON, D.C. (August 14, 2007) – The North American Securities Administrators Association Inc. (NASAA) and the Newspaper Association of America (NAA) Foundation today launched FSI: Fraud Scene Investigator, an innovative online initiative to help teach students how to fight investment fraud firsthand. “FSI: Fraud […]

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NASAA and NAA Foundation Launch ‘FSI: Fraud Scene Investigator’

New Online Investor Education Program Teaches Students to Fight White-Collar Crime WASHINGTON, D.C. (August 14, 2007) – The North American Securities Administrators Association Inc. (NASAA) and the Newspaper Association of America (NAA) Foundation today launched FSI: Fraud Scene Investigator, an innovative online initiative to help teach students how to fight investment fraud firsthand. “FSI: Fraud […]

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NASAA to Participate in National Seniors Summit September 10

Summit to Bring Together Leading Senior Investor Protection Authorities WASHINGTON (August 7, 2007) —The North American Securities Administrators Association (NASAA) will participate in the second annual Seniors Summit, hosted by the U.S. Securities and Exchange Commission, September 10, 2007 in Washington, D.C., NASAA President Joseph P. Borg said today. (Click here for registration details.) The […]

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NASAA Leaders Address National Conference of State Legislatures

WASHINGTON, D.C. (August 6, 2007) —North American Securities Administrators Association (NASAA) President Joseph P. Borg and President-elect Karen Tyler represented state securities regulators at the National Conference of State Legislatures’ (NCSL) 2007 Strong States Strong Nation Legislative Summit in Boston. In testimony before the NCSL’s Communications, Financial Services and Interstate Commerce Committee, Borg, Director of […]

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NASAA Outlines Concerns About Risks to Retail Investors from IPOs of Private Equity and Hedge Fund Firms

Full text of testimony available here. WASHINGTON, D.C. (July 11, 2007) —North American Securities Administrators Association (NASAA) President Joseph P. Borg today told a Congressional panel that allowing public offerings of private equity and hedge fund management firms without appropriate regulatory protections puts retail investors at risk. “Due to a lack of transparency, the level […]

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NASAA Offers Tips on How to Talk to Aging Parents About Senior Investment Fraud

WASHINGTON (May 22, 2007) — They talked about the birds and bees with you, now it’s your turn to talk dollars and sense when it comes to your parent’s financial future and how to avoid losing their nest egg to financial fraud. Free lunch seminars, high-pressure phone calls, and endless mail guaranteeing high returns with […]

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NASAA Outlines Key Concerns About Merger of Securities Industry Self-Regulatory Organizations

Borg: “The needs of investors must come first.” WASHINGTON, D.C. (May 17, 2007) —North American Securities Administrators Association (NASAA) President Joseph P. Borg today told a Senate panel that improved investor protection, rather than regulatory streamlining, should be the primary objective of the upcoming merger of two securities industry self-regulatory organizations (SRO). “Today, 100 million […]

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State Securities Regulators Identify Top 10 Traps Facing Investors

WASHINGTON (May 15, 2007) – The North American Securities Administrators Association today released its annual forecast of the Top 10 Traps likely to ensnare investors. “The path to safe investing is littered with traps that are likely to catch unwary investors. It always pays to remember that any investment that sounds too good to be […]

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Regulators Join Forces to Warn Public of Foreign Currency Trading Frauds

WASHINGTON, D.C. (May 7, 2007) – The Commodity Futures Trading Commission (CFTC) and the North American Securities Administrators Association (NASAA) today issued a joint investor alert to warn of the dangers facing retail investors who are lured into foreign currency (forex) trading frauds. The regulators cautioned investors that off-exchange forex trading by retail investors is […]

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