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NASAA Warns Investors to Beware of Phantom Regulators

Con Artists Posing as U.S. Regulators Go Global to Lure Investors WASHINGTON, D.C. (July 28, 2005) – Want to check out a hot stock tip before you invest? Make sure you aren’t getting bad advice from con artists posing as regulators, warns Franklin L. Widmann, Chief of the New Jersey Securities Bureau, and President of […]

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NASAA Members Adopt Resolution on State Securities Regulatory Authority

WASHINGTON (July 18, 2005)—Members of the North American Securities Administrators Association (NASAA) recently endorsed and adopted a resolution opposing efforts to preempt state securities authority in the United States. “This resolution reflects the strong voice of NASAA members in vigorous opposition to any attempt to preempt or circumvent our efforts to protect investors,” said NASAA President and […]

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NASAA to Host Annual Conference in Minneapolis September 11-14

Conference to Feature Panels, Forums on Topics of Interest to Securities Regulators and Financial Service Industry WASHINGTON (July 12, 2005) —The North American Securities Administrators Association (NASAA) will host its 88th Annual Conference in Minneapolis, Minnesota, from September 11-14 to examine investor protection issues of importance to securities regulators and the financial services industry, NASAA President […]

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NASAA Launches Online Enforcement Directory

WASHINGTON (June 2, 2005)—The North American Securities Administrators Association (NASAA) today launched an enforcement directory of links to its member jurisdictions that offer access to online enforcement actions, cease and desist orders, and other administrative orders. The online directory can be found on the NASAA website by clicking here. “We are pleased to offer this resource […]

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NASAA Statement on SEC Chairman Donaldson

WASHINGTON (June 2, 2005)—The following is a statement from North American Securities Administrators Association (NASAA) President and New Jersey Securities Bureau Chief Franklin L. Widmann on the announcement that Securities and Exchange Commission Chairman William Donaldson will resign effective June 30. “Chairman William Donaldson has worked hard to restore investor confidence and return stability to […]

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NASAA Welcomes U.S. Virgin Islands as Newest Member

Territory in Caribbean Becomes NASAA’s 67th Member WASHINGTON (May 11, 2005) – North American Securities Administrators Association (NASAA) President and New Jersey Securities Bureau Chief Franklin L. Widmann today announced that the U.S. Virgin Islands has become the 67th member of NASAA. “I am greatly pleased that NASAA’s Membership has voted unanimously to welcome the […]

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NASAA Applauds Designation of April as Financial Literacy Month

Widmann: ‘The need for financial education in the United States has never been greater.’ WASHINGTON (April 13, 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 passage of House Resolution 148. Organized in 1919, NASAA is the oldest international organization […]

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NASAA to Host Public Policy Conference

Conference to Feature Forum on Balance Between Regulatory Reform and Consumer Protection   WASHINGTON (April 13, 2005)  -The North American Securities Administrators Association (NASAA) will host a Public Policy Conference on May 3 to explore current issues of importance to state securities regulators and investor protection, NASAA President and New Jersey Bureau of Securities Chief Franklin L. Widmann said […]

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NASAA Member to Serve on SEC Advisory Committee

Committee to Examine Sarbanes-Oxley Act’s Impact on Small Companies WASHINGTON – Jack E. Herstein, Assistant Director of the Nebraska Department of Banking & Finance Bureau of Securities and Vice Chair of the Corporation Finance Section of the North American Securities Administrators Association (NASAA) today began serving as an official observer of the Securities and Exchange […]

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NASAA’s 2005 Top 10 Threats to Investors

Widmann: “If it sounds too good to be true, it usually is”  WASHINGTON (March 24, 2005) – The North American Securities Administrators Association (NASAA) today identified the most common ploys being used to cheat investors out of hundreds of millions of dollars. “Investors should keep their guard up anytime anyone offers an investment opportunity. It […]

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