All: Newsroom

NASAA, SIFMA, and SIPC Join to Promote Investor Education With Updated "Understanding Your Brokerage Statement" Brochure

Free Brochure Available in English and Spanish WASHINGTON, D.C. (March 7, 2007) – The Securities Industry and Financial Markets Association (SIFMA), the North American Securities Administrators Association, Inc. (NASAA) and the Securities Investor Protection Corporation (SIPC) today released updated editions of the popular investor education resource, “Understanding Your Brokerage Account Statements.”  The publication is available […]

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NASAA Supports National Consumer Protection Week

WASHINGTON (February 7, 2007) –The following is a statement from North American Securities Administrators Association President and Alabama Securities Commission Director Joseph P. Borg on the passage of House Resolution 94, supporting the goals and ideals of National Consumer Protection Week, February 4-10. NASAA is the oldest international organization devoted to investor protection. NASAA’s membership consists […]

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NASAA Unveils Pro-Investor Legislative Agenda for the 110th Congress

WASHINGTON, D.C. (January 25, 2007) —The North American Securities Administrators Association (NASAA) today outlined a sweeping legislative agenda that supports efforts to advance investor protection and promote a strong and effective regulatory environment to maintain investor confidence in the capital markets. “Taken together, our agenda clearly revolves around doing what’s right for investors. This has always been […]

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A Pro-Investor Legislative Agenda For the 110th Congress

January 25, 2007, , NASAA President Joseph Borg, National Press Club, Washington, D.C.

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NASAA To Unveil Pro-Investor Legislative Agenda for 110th Congress

Washington (January 18, 2007) — The North American Securities Administrators Association will hold a news conference on January 25, 2007 to discuss its pro-investor legislative priorities for the 110th Congress. NASAA’s legislative agenda will include a focus on the regulatory structure of capital markets, the securities arbitration system, hedge funds and pension protection, as well […]

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State Securities Regulators Warn Against Slippery Oil and Gas Deals

Oil Patch Scams Remain Favored Ploy to Fleece Investors WASHINGTON, D.C. (January 11, 2007) – Although oil prices have fallen since reaching an all-time high last summer, fraudulent oil and gas deals remain a favorite ploy of con artists nationwide, according to the North American Securities Administrators Association (NASAA), the membership organization of state and […]

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State Securities Regulators Report Increases in Enforcement Actions, Money Ordered Returned to Investors & Years of Incarceration for Securities Law Violations

WASHINGTON (December 12, 2006) – State securities regulators today reported significant increases in the number of enforcement actions, money ordered returned to investors, and years of incarceration for securities law violations during the most recent reporting period. “These statistics reflect the ongoing vigilance of state securities regulators to protect Main Street investors from fraud,” said Joseph […]

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State Securities Regulators Report Increases in Enforcement Actions, Money Ordered Returned to Investors & Years of Incarceration for Securities Law Violations

WASHINGTON (December 12, 2006) – State securities regulators today reported significant increases in the number of enforcement actions, money ordered returned to investors, and years of incarceration for securities law violations during the most recent reporting period. “These statistics reflect the ongoing vigilance of state securities regulators to protect Main Street investors from fraud,” said Joseph […]

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NASAA Statement on Consolidation of Securities Industry SROs

WASHINGTON (November 28, 2006) – The following is a statement from Joseph P. Borg, President of the North American Securities Administrators Association (NASAA) and Director of the Alabama Securities Commission, on the announcement by NASD and NYSE Group, Inc. that they have signed a letter of intent to consolidate their member regulation operations into a new […]

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SEC, NASAA Announce Continuation of IARD System Fee Waiver

WASHINGTON, D.C. (October 26, 2006) – The U.S. Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) today announced they will continue to waive for two years the annual system fees paid by investment adviser firms to maintain the Investment Adviser Registration Depository (IARD) system.  The SEC and NASAA also announced a […]

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