All: Newsroom

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 […]

2006 Headlines, Newsroom Read more

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 […]

2005 Headlines, Investor Alerts & Tips, Newsroom, Youth & Educators Read more

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

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 […]

2005 Headlines, Newsroom Read more

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. […]

2005 Headlines, Newsroom Read more

SEC, NASAA Announce IARD System Fee Waiver

WASHINGTON, D.C. (October 7, 2005) —The U.S. Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) today announced a one-year waiver of certain system fees paid by investment advisers and all investment adviser representatives for registration in the Investment Adviser Registration Depository (IARD) program. Separately, NASAA also announced that it is […]

2005 Headlines, Newsroom Read more

NASAA, NASD, and NYSE Regulation Applaud SEC Approval of New, Uniform Definition of “Branch Office” and Centralized Registration System

Action to Reduce Regulatory Burden on Firms Result of Joint Initiative Washington DC and New York (October 6, 2005) — New York Stock Exchange (NYSE) Regulation, NASD and the North American Securities Administrators Association (NASAA) today applauded the U.S. Securities and Exchange Commission (SEC) for approving a common definition of “branch office” in the securities […]

2005 Headlines, Broker-Dealer, Industry Resources, Newsroom Read more

NASAA, NASD, and NYSE Regulation Applaud SEC Approval of New, Uniform Definition of "Branch Office" and Centralized Registration System

Action to Reduce Regulatory Burden on Firms Result of Joint Initiative Washington DC and New York (October 6, 2005) — New York Stock Exchange (NYSE) Regulation, NASD and the North American Securities Administrators Association (NASAA) today applauded the U.S. Securities and Exchange Commission (SEC) for approving a common definition of “branch office” in the securities […]

2005 Headlines, Broker-Dealer, Industry Resources, Newsroom Read more

2005 Presidential Speech, Patricia Struck, Administrator, Wisconsin Division of Securities

September 13, 2005, NASAA Annual Conference, Minneapolis, Minnesota

Newsroom, Speeches Read more