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Coordinated Examinations Identify Investment Adviser Deficiencies

State Securities Regulators Update Best Practices to Help Advisers Strengthen Compliance Procedures WASHINGTON, D.C. (October 15, 2007)– The North American Securities Administrators Association (NASAA) today released an updated series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures. “Our best practices were developed to help regulators and […]

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2007 Presidential Speech, North Dakota Securities Commissioner Karen Tyler

October 2, 2007, NASAA Annual Conference, Seattle, Washington

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NASAA Installs New President, Board of Directors

North Dakota Securities Commissioner Karen Tyler Named NASAA President; Colorado Securities Commissioner Fred Joseph to Serve as President-Elect SEATTLE, WASHINGTON (October 2, 2007) – North Dakota Securities Commissioner Karen Tyler today was elected to a one-year term as President of the North American Securities Administrators Association (NASAA). She succeeds Alabama Securities Commission Director Joseph P Borg. […]

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2007 Seniors Summit, NASAA President Joseph Borg

September 10, 2007, Senior Summit, Washington, D.C.

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"Free Lunch" Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors

WASHINGTON, D.C. (September 10, 2007)– During a Seniors Summit held today at the Securities and Exchange Commission, securities regulators released a joint report summarizing the results of their examinations of “free lunch” investment seminars. The year-long examination was conducted by the SEC, the Financial Industry Regulatory Authority (FINRA) and state securities regulators (members of NASAA, the […]

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“Free Lunch” Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors

WASHINGTON, D.C. (September 10, 2007)– During a Seniors Summit held today at the Securities and Exchange Commission, securities regulators released a joint report summarizing the results of their examinations of “free lunch” investment seminars. The year-long examination was conducted by the SEC, the Financial Industry Regulatory Authority (FINRA) and state securities regulators (members of NASAA, the […]

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State Securities Regulators Issue Senior Investor Alert

NASAA says retirees and those nearing retirement remain vulnerable as they manage a lifetime of savings WASHINGTON, D.C. (September 10, 2007) —The North American Securities Administrators Association (NASAA) today issued a Senior Investor Alert warning that retirees and those nearing retirement can face serious traps as they manage the savings they have accumulated throughout their working […]

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NASAA Outlines Dangers Facing Senior Investors

Borg: “States have been in the vanguard developing innovative regulatory responses to fight senior investment fraud.” WASHINGTON, D.C. (September 5, 2007)—The North American Securities Administrators Association (NASAA) today told a Congressional panel that senior investors are being targeted through “free lunch” investment seminars by predators holding professional-sounding designations that can be nothing more than empty marketing […]

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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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2007 Headlines, Newsroom, Senior News & Alerts, Seniors Read more

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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2007 Headlines, Newsroom, Senior News & Alerts, Seniors Read more