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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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State Securities Regulators Release “Unlucky 13” Investor Traps

Personal Information Scams, Oil & Gas Investment Fraud, Prime Bank Schemes Seen as Greatest Potential Threats to Investors in 2006 WASHINGTON, DC (February 16, 2006) —The North American Securities Administrators Association (NASAA) today outlined a forecast of the 13 most common ways investors are likely to be trapped in 2006. “This list is anything but […]

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State Securities Regulators Release "Unlucky 13" Investor Traps

Personal Information Scams, Oil & Gas Investment Fraud, Prime Bank Schemes Seen as Greatest Potential Threats to Investors in 2006 WASHINGTON, DC (February 16, 2006) —The North American Securities Administrators Association (NASAA) today outlined a forecast of the 13 most common ways investors are likely to be trapped in 2006. “This list is anything but […]

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NASAA Statement on NASD Leadership Plans

WASHINGTON (January 12, 2006) —The following is a statement from North American Securities Administrators Association (NASAA) President and Wisconsin Securities Administrator Patricia D. Struck on the election today of Mary L. Schapiro to succeed Robert R. Glauber as Chairman and CEO of the NASD effective December 2006. “NASAA sincerely appreciates Chairman Glauber’s leadership and accessibility […]

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State Securities Regulators Remind Investors to Do Their Homework Before Investing in 529 College Savings Plans

WASHINGTON (December 22, 2005) —As the year draws to a close, many investors are making decisions for their long-term financial goals, including saving for college through Section 529 College Savings plans. With increasing numbers of investors turning to these plans to help finance higher education costs, state securities regulators are concerned that they may not […]

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Regulators Urge Investors to Carefully Check Credentials of ‘Senior Specialists’

WASHINGTON, DC (December 12, 2005) —The North American Securities Administrators Association (NASAA) today urged seniors to carefully check the credentials of individuals holding themselves out as “senior specialists.” “Individuals may call themselves ‘senior specialists’ to create a false level of comfort among seniors by implying a certain level of training on issues important to the […]

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Regulators Urge Investors to Carefully Check Credentials of 'Senior Specialists'

WASHINGTON, DC (December 12, 2005) —The North American Securities Administrators Association (NASAA) today urged seniors to carefully check the credentials of individuals holding themselves out as “senior specialists.” “Individuals may call themselves ‘senior specialists’ to create a false level of comfort among seniors by implying a certain level of training on issues important to the […]

2005 Headlines, Newsroom, Senior News & Alerts, Seniors Read more

Panelists Set For NASAA Forum on Naked Short Selling

Experts to Gather November 30 in Washington WASHINGTON (November 22, 2005) —The North American Securities Administrators Association, Inc., (NASAA) today announced participants for its upcoming “NASAA Listens” Forum to explore possible market manipulation through naked short selling activity. The forum is scheduled for November 30 from 1 p.m. to 3 p.m. at the Paris Ballroom […]

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NASAA to Host Forum on Naked Short Selling

Experts to Examine Efforts to Curb Market Manipulation by Stemming Abusive Naked Short Selling Activity WASHINGTON (November 17, 2005)—The North American Securities Administrators Association, Inc. (NASAA) today announced plans to host a public forum to explore possible market manipulation through naked short selling activity. The “NASAA Listens” Forum is scheduled for November 30 from 1 p.m. […]

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