All: 2008 Headlines

NASAA Statement on Treasury Department’s Financial Services Regulatory Restructuring Plan

WASHINGTON, D.C. March 31, 2008—The following is a statement by Karen Tyler, President of the North American Securities Administrators Association (NASAA) and North Dakota Securities Commissioner, regarding the Treasury Department’s Blueprint for Regulatory Reform. NASAA is the oldest international organization devoted to investor protection. NASAA’s membership consists of the securities administrators in the 50 states, […]

2008 Headlines, Newsroom Read more

NASAA, SIPC Offer Answers to Investors Concerned About the Safety of Their Brokerage Accounts

WASHINGTON, D.C. March 25, 2008 – In the wake of recent turbulence in the financial markets, the North American Securities Administrators Association (NASAA) today joined with the Securities Investor Protection Corporation (SIPC), which maintains a special reserve fund authorized by Congress to help investors at failed brokerage firms, to remind investors of the important and […]

2008 Headlines, Newsroom Read more

Speakers Announced for NASAA Public Policy Conference

Sen. Jack Reed, SEC Commissioner Christopher Cox to Address April 1 Event; Panels to Explore the Horizon of Financial Services Regulation WASHINGTON, D.C. March 12, 2008—The North American Securities Administrators Association (NASAA) today announced the line-up of speakers and panels for its 2008 Public Policy Conference, which will be held April 1 in Washington, D.C. […]

2008 Headlines, Newsroom Read more

NASAA Brings Fraud Prevention Focus to America Saves Week

WASHINGTON, D.C. (February 25, 2008) – The North American Securities Administrators Association (NASAA), in observance of America Saves Week, today encouraged investors not only to save but also to protect their assets through fraud prevention. “Ben Franklin reminded us, ‘A penny saved is a penny earned.’ This week we encourage investors to take that advice […]

2008 Headlines, Newsroom Read more

SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors

Washington, D.C., February 8, 2008 – The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new initiative as part of securities regulators’ efforts to protect senior investors. The goal of the initiative is to identify effective practices used by financial services […]

2008 Headlines, Newsroom, Senior News & Alerts Read more

State Securities Regulators Say New Study Clearly Shows Investors View Securities Arbitration as Biased and Unfair

NASAA Calls on FINRA, SEC to Improve the Integrity of Securities Arbitration System by Removing Mandatory Industry Representative from Arbitration Panels WASHINGTON, D.C. February 6, 2008—The North American Securities Administrators Association (NASAA) today called upon the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to take immediate action to improve the […]

2008 Headlines, Newsroom Read more

NASAA Outlines Pro-Investor Legislative Priorities

WASHINGTON, D.C. (January 30, 2008)—The North American Securities Administrators Association (NASAA) today identified 11 key pro-investor legislative priorities it will advocate during the second session of the 110th Congress. “Collectively, the priorities that frame our legislative agenda reflect NASAA’s belief that every investor deserves protection,” said NASAA President and North Dakota Securities Commissioner Karen Tyler. […]

2008 Headlines, Newsroom Read more

State Securities Regulators Remind Investors That Scams Often Hide Behind the Headlines

WASHINGTON, D.C. (January 28, 2008) – State securities regulators today reminded investors not to allow recent negative economic news and stock market volatility lead them into high-risk speculative investments, which may be nothing more than fraudulent schemes hiding behind today’s headlines. “Scamsters follow the news and often prey on investors’ fear to promote bogus investments […]

2008 Headlines, Newsroom Read more

NASAA Responds to U.S. Supreme Court Decision in Stoneridge Case

WASHINGTON, D.C.—The North American Securities Administrators Association (NASAA) today expressed its disappointment over the U.S. Supreme Court’s 5-3 ruling against the plaintiffs in Stoneridge Investment Partners v. Scientific-Atlanta Inc., which has closed an important avenue for investors to seek redress in the courts. “The Court missed an important opportunity to make clear that all of […]

2008 Headlines, Newsroom Read more