WASHINGTON, D.C. (March 19, 2013) – The lack of civil recovery options for harmed investors is weakening the confidence of investors in financial products and markets, the president of the North American Securities Administrators Association (NASAA) said in a keynote speech delivered today at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal [...]
NASAA President Heath Abshure’s Keynote Address at SIFMA Compliance and Legal Society Annual Meeting
March 19, 2013–NASAA president discusses class-action relief, arbitration and fiduciary duty in keynote address at SIFMA conference in Scottsdale, Arizona.
March 5, 2013–Legislative agenda offers Congress a roadmap to promote sustained investor confidence in U.S. capital markets.
Media Advisory: NASAA News Conference The North American Securities Administrators Association (NASAA) will release its 2013 Legislative Agenda, outlining specific legislation it will seek in the 113th Congress to enable policymakers to promote investor confidence in U.S. capital markets by striking the most reasonable balance between advancing capital formation and protecting investors. With a history [...]
January 24, 2013–White’s successful enforcement background should send a strong message to those who violate our nation’s securities laws that they will be stopped and punished.
December 5, 2012–Crowdfunding’s presence on the Internet has risen sharply in recent months in anticipation of rules to allow small businesses and entrepreneurs to raise investments online.
WASHINGTON (November 28, 2012) — The following is a statement from Heath Abshure, president of the North American Securities Administrators Association and Arkansas Securities Commissioner, regarding the upcoming leadership change at the U.S. Securities and Exchange Commission. Earlier this week, President Obama designated SEC Commissioner Elisse Walter as chairman of the SEC effective December 14, [...]
November 6, 2012–Former NASAA President David Massey reappointed to two-year term on Financial Stability Oversight Council.
October 31, 2012–Following the widespread destruction caused by Hurricane Sandy along the Eastern seaboard, NASAA warns investors to beware of opportunistic investment “Sandy scams.”
October 23, 2012 – NASAA releases results of annual enforcement survey. NASAA President Heath Abshure says the report “demonstrates that investors continue to rely upon state securities regulators.”