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NASAA Commends Launch of Congressional Financial and Economic Literacy Caucus

WASHINGTON, February 16, 2005 –The following is a statement from North American Securities Administrators Association President and New Jersey Bureau of Securities Chief Franklin L. Widmann on the formation of the Financial and Economic Literacy Caucus. Organized in 1919, NASAA is the oldest international organization devoted to investor protection. NASAA’s membership consists of securities administrators […]

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NASAA Launches Redesigned Website

WASHINGTON (January 11, 2005) –The North American Securities Administrators Association (NASAA) today launched its newly redesigned website to better inform the public, policymakers, regulators, and industry about the role NASAA members serve in protecting investors throughout North America. “Through the new NASAA website, we are pleased to provide users with easier access to new resources and […]

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Luncheon Address, NASAA Investor Education Training

November 4, 2004, NASAA President Frank Widmann, NASAA Investor Education Training, Orlando, Florida

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2004 Presidential Speech, New Jersey Bureau of Securities Chief Franklin Widmann

October 2, 2004, NASAA Annual Conference, Scottsdale, Arizona

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New NASAA President Frank Widmann Urges Industry, Regulators to Help Investors Regain Confidence

SCOTTSDALE, ARIZONA (October 2, 2004) – Franklin L. Widmann, Chief of New Jersey’s Securities Bureau, today was named to a one-year term as President of the North American Securities Administrators Association (NASAA), succeeding Ralph A. Lambiase, Director of the Connecticut Division of Securities. NASAA is the oldest international organization devoted to investor protection. Its membership […]

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NASAA Sweep Identifies Most Common Problems With Investment Advisers

State Securities Regulators Propose Best Practices to Help Advisers Develop Compliance Practices and Procedures SCOTTSDALE, ARIZONA (October 1, 2004)– The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures. NASAA is the […]

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Panelists Set for NASAA Listens Forum on Rule 12b-1 Plans

Mutual Fund Industry Experts, Regulators to Gather Sept. 13 in New York WASHINGTON (September 7, 2004) —The North American Securities Administrators Association, Inc., (NASAA) is bringing together leading mutual fund industry experts and regulators for a public forum on Rule 12b-1 plans, September 13 in New York City. The “NASAA Listens” Forum will be held […]

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State Securities Regulators to Host 12b-1 Forum

WASHINGTON (August 30, 2004) —The North American Securities Administrators Association, Inc., (NASAA) today announced plans to host a public forum to explore the history and purpose of Rule 12b-1 plans and to examine how these plans affect investors as well as mutual fund management companies. The “NASAA Listens” Forum is scheduled for September 13 from […]

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Deutsche Bank Securities Inc. and Thomas Weisel Partners LLC Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking

Deutsche Bank Securities to Pay $87.5 Million, Including Penalty of $7.5 Million for Failing to Timely Produce All E-mail; Thomas Weisel Partners to Pay $12.5 Million WASHINGTON, NEW YORK, SACRAMENTO (August 26, 2004) – The Securities and Exchange Commission, the North American Securities Administrators Association (“NASAA”), NASD, Inc., New York Stock Exchange (“NYSE”), and state […]

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NASAA Outlines Efforts to Fight Senior Investment Fraud

WASHINGTON (August 17, 2004) — North Dakota Securities Commissioner Karen Tyler, on behalf of the North American Securities Administrators Association (NASAA), today outlined the important role states play in providing financial education to help combat investment fraud against seniors. “Informed investors make tough targets for financial predators. Financial education is the first defense against investment […]

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