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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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NASAA, SROs Seek Comment on New Branch Office Registration Form

NASAA Also Releases Model Branch Office Definition Rule WASHINGTON (August 4, 2004) – NASAA today joined NASD and the New York Stock Exchange (NYSE) in releasing for comment a proposed uniform branch office registration form (Form BR). This will enable broker-dealer and investment adviser firms to register branch offices electronically with NASD, the NYSE, and […]

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NASAA to Relocate Corporate Office

WASHINGTON (July 28, 2004)— Effective Monday, August 2, the corporate office of the North American Securities Administrators Association, Inc. (NASAA) will relocate to 750 First Street, N.E., Suite 1140, Washington, DC, 20002. NASAA’s telephone and fax numbers, and website and e-mail addresses, will not change. NASAA Executive Director John H. Hanley said the organization’s Board […]

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NASAA Names New General Counsel, Deputy General Counsel

Rex Staples and Steve Hall Appointed to Top Legal Posts WASHINGTON (July 26, 2004) — The North American Securities Administrators Association, Inc. (NASAA) announced today that Rex A. Staples will be joining the organization as its General Counsel, effective September 7. He will report to NASAA Executive Director John H. Hanley. Staples, 46, will join […]

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"NASAA Listens" Forum on Arbitration To Be Webcast Live

WASHINGTON (July 14, 2004) —The North American Securities Administrators Association, Inc. today announced plans to broadcast its public “NASAA Listens” Forum on Arbitration live on the Internet. The Forum will be available on the NASAA website at 12:30 p.m. (EDT) on July 20. The 90-minute audio-only webcast also will be archived on NASAA’s website for […]

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“NASAA Listens” Forum on Arbitration To Be Webcast Live

WASHINGTON (July 14, 2004) —The North American Securities Administrators Association, Inc. today announced plans to broadcast its public “NASAA Listens” Forum on Arbitration live on the Internet. The Forum will be available on the NASAA website at 12:30 p.m. (EDT) on July 20. The 90-minute audio-only webcast also will be archived on NASAA’s website for […]

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State Securities Regulators to Host Arbitration Forum

Public Forum to be Held as Record Numbers of Investors Turn to Arbitration to Resolve Disputes WASHINGTON (June 21, 2004) —The North American Securities Administrators Association, Inc., today announced plans to host a public forum to explore the strengths and weaknesses of the arbitration process from a variety of perspectives. The “NASAA Listens” Forum is […]

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Senate Banking Committee Examines Important Role of State Securities Regulators in Protecting Investors

WASHINGTON (June 2, 2004)—In testimony before the Senate Banking Committee, state securities regulators today highlighted the important role states play in protecting investors, whether from abusive mutual fund and variable annuity sales practices or back-office boiler-room operators pitching fly-by-night investment scams. “State securities administrators share a common passion for protecting citizens from investment fraud and […]

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