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NASAA and SIA Promote Investor Education for Hispanic Investors

‘Understanding Your Brokerage Account Statements’ Brochure Published in Spanish WASHINGTON, DC (April 26, 2006)— The Securities Industry Association (SIA) and the North American Securities Administrators Association, Inc. (NASAA) today unveiled a Spanish translation of their joint publication  “Understanding Your Brokerage Account Statements.” This guide is intended to provide Spanish-speaking investors with tips on analyzing their […]

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SEC Chairman Cox to Address NASAA Public Policy Conference

May 9 Conference also Features Forum on Financial Issues Affecting Baby Boomers WASHINGTON, D.C. (April 12, 2006) —U.S. Securities and Exchange Commission Chairman Christopher Cox will be the keynote speaker at the North American Securities Administrators Association’s (NASAA) annual Public Policy Conference on Tuesday, May 9 in Washington, D.C., NASAA President and Wisconsin Securities Administrator Patricia D. Struck […]

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NASAA Statement on Appointment of Andrew Donohue as Director of the SEC Division of Investment Management

WASHINGTON, D.C. (April 11, 2006) —The following is a statement from North American Securities Administrators Association (NASAA) President and Wisconsin Securities Administrator Patricia D. Struck on the appointment of Andrew Donohue as Director of the Division of Investment Management at the U.S. Securities and Exchange Commission. “NASAA’s leadership congratulates SEC Chairman Christopher Cox on the appointment […]

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NASAA Applauds Resolutions Supporting Goals and Ideals of Financial Literacy Month

Struck: ‘The need for financial education in the United States has never been greater.’ WASHINGTON (April 7, 2006) — The following is a statement from North American Securities Administrators Association President and Wisconsin Securities Administrator Patricia D. Struck on the passage of Senate Resolution 410 and House Resolution 737, supporting the goals and ideals of Financial […]

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NASAA Listens Forum on Hedge Funds to be Webcast

WASHINGTON (March 30, 2006) —The North American Securities Administrators Association, Inc. (NASAA) today announced plans to broadcast its public “NASAA Listens” Forum on Hedge Funds live on the Internet. The Forum will be webcast on the NASAA website at 1 p.m. (EDT) on April 4. The 90-minute audio-only webcast also will be archived on NASAA’s website for later […]

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NASAA Identifies Threats to Senior Investors in Senate Testimony

State Securities Regulators Outline Initiatives to Protect Seniors from Investment Fraud WASHINGTON, D.C. (March 29, 2006) — The North American Securities Administrators Association (NASAA) today identified three troubling trends endangering the retirement nest eggs of our nation’s growing senior population and outlined the steps state securities regulators are taking to protect senior investors from fraud. “My […]

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NASAA to Detail Threats to Senior Investors

NASAA President and Wisconsin Securities Administrator Patricia D. Struck to Testify before U.S. Senate Special Committee on Aging WASHINGTON, D.C. (March 28, 2006) – North American Securities Administrators Association (NASAA) President and Wisconsin Securities Administrator Patricia D. Struck will identify three troubling trends endangering the retirement nest eggs of our nation’s growing senior population in testimony […]

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Panelists Set For NASAA Listens Forum on Hedge Funds

Hedge Fund Industry Experts, Regulators to Gather April 4 in New York WASHINGTON (March 23, 2006)—The North American Securities Administrators Association, Inc., (NASAA) is bringing together a diverse panel of experts for a public forum on hedge funds and their increasing role in the portfolios of pensions and individual investors. The NASAA Listens Forum on Hedge […]

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NASAA Listens Forum to Focus on Hedge Funds

Experts to Examine Hedge Fund ‘Retailization’ WASHINGTON (March 14, 2006) —The North American Securities Administrators Association, Inc., (NASAA) today announced plans to host a public forum to explore the ramifications of the sale of hedge funds and funds of funds to retail investors and the challenges this trend poses to regulators charged with upholding investor […]

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NASAA Names Russ Iuculano as Executive Director

WASHINGTON (February 28, 2006) –The North American Securities Administrators Association (NASAA), the membership organization of state and provincial securities regulators, today named Russ Iuculano as Executive Director. “I am very excited that Russ is joining NASAA today,” said Patricia D. Struck, NASAA’s President and Wisconsin Securities Administrator. “Along with his evident enthusiasm for NASAA’s mission, […]

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