All: Newsroom

NASAA Outlines Key Concerns About Merger of Securities Industry Self-Regulatory Organizations

Borg: “The needs of investors must come first.” WASHINGTON, D.C. (May 17, 2007) —North American Securities Administrators Association (NASAA) President Joseph P. Borg today told a Senate panel that improved investor protection, rather than regulatory streamlining, should be the primary objective of the upcoming merger of two securities industry self-regulatory organizations (SRO). “Today, 100 million […]

Print Friendly
2007 Headlines, Newsroom Read more

State Securities Regulators Identify Top 10 Traps Facing Investors

WASHINGTON (May 15, 2007) – The North American Securities Administrators Association today released its annual forecast of the Top 10 Traps likely to ensnare investors. “The path to safe investing is littered with traps that are likely to catch unwary investors. It always pays to remember that any investment that sounds too good to be […]

Print Friendly
2007 Headlines, Newsroom Read more

Regulators Join Forces to Warn Public of Foreign Currency Trading Frauds

WASHINGTON, D.C. (May 7, 2007) – The Commodity Futures Trading Commission (CFTC) and the North American Securities Administrators Association (NASAA) today issued a joint investor alert to warn of the dangers facing retail investors who are lured into foreign currency (forex) trading frauds. The regulators cautioned investors that off-exchange forex trading by retail investors is […]

Print Friendly
2007 Headlines, Newsroom Read more

Speakers Set for NASAA Public Policy Conference

U.S. Senator Robert Casey and Former SEC Commissioner Harvey Goldschmid to Address May 8 Conference in Washington, D.C. WASHINGTON, D.C. (April 26, 2007) —The North American Securities Administrators Association (NASAA) announced today that U.S. Senator Robert P. Casey (D-PA) and former Securities and Exchange Commissioner Harvey J. Goldschmid will be the featured speakers at its May 8 Public […]

Print Friendly
2007 Headlines, Newsroom Read more

NASAA Offers New Podcast Series to Help Listeners Become Alert Investors

WASHINGTON, D.C. (April 18, 2007) — Knowledge is power. And nowhere is that more true than in the dynamic world of investing. But many investors today feel they lack the knowledge they need in navigating the twists and turns of the investing world. Continuing its tradition of providing information that every investor can use, the […]

Print Friendly
2007 Headlines, Newsroom Read more

NASAA Commends Resolutions Supporting the Goals of Financial Literacy Month

Borg: ‘Educating investors of all ages empowers them to make sound financial choices” WASHINGTON (April 18, 2007) — The following is a statement from North American Securities Administrators Association President and Director of the Alabama Securities Commission Joseph P. Borg on the passage of Senate Resolution 126 and House Resolution 273, supporting the goals and ideals […]

Print Friendly
2007 Headlines, Newsroom Read more

NASAA Highlights Financial Education Efforts at Inaugural Meeting of National Financial Education Network

WASHINGTON, D.C. (April 17, 2007) —Tennessee Assistant Commissioner for Securities Daphne Smith, on behalf of the North American Securities Administrators Association (NASAA), today highlighted the significant role state and provincial securities regulators serve in providing financial education to constituents of all ages. Speaking at the federal Financial Literacy and Education Commission’s (FLEC) inaugural meeting of […]

Print Friendly
2007 Headlines, Newsroom Read more

NASAA to Host Public Policy Conference on May 8

Conference to Feature Forum Examining Investor Protection Through Effective Enforcement and Regulation WASHINGTON, D.C. (April 11, 2007) —The North American Securities Administrators Association (NASAA) will hold its 2007 Public Policy Conference on May 8 in Washington, D.C. to focus attention on investor protection issues of key concern to both state securities regulators and the securities industry, […]

Print Friendly
2007 Headlines, Newsroom Read more

NASAA Challenges Reports That ‘Over-Regulation’ Has Harmed U.S. Capital Market Competitiveness

NASAA President Reaffirms State Investor Protection Role WASHINGTON, D.C. (March 22, 2007) —The President of the North American Securities Administrators Association, Inc. (NASAA) today challenged recent reports suggesting that U.S. capital markets are losing their competitiveness due to increased regulation in the wake of Enron and other recent corporate scandals and reaffirmed the role of […]

Print Friendly
2007 Headlines, Newsroom Read more

NASAA Challenges Reports That 'Over-Regulation' Has Harmed U.S. Capital Market Competitiveness

NASAA President Reaffirms State Investor Protection Role WASHINGTON, D.C. (March 22, 2007) —The President of the North American Securities Administrators Association, Inc. (NASAA) today challenged recent reports suggesting that U.S. capital markets are losing their competitiveness due to increased regulation in the wake of Enron and other recent corporate scandals and reaffirmed the role of […]

Print Friendly
2007 Headlines, Newsroom Read more