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NASAA Leaders Address National Conference of State Legislatures

WASHINGTON, D.C. (August 6, 2007) —North American Securities Administrators Association (NASAA) President Joseph P. Borg and President-elect Karen Tyler represented state securities regulators at the National Conference of State Legislatures’ (NCSL) 2007 Strong States Strong Nation Legislative Summit in Boston. In testimony before the NCSL’s Communications, Financial Services and Interstate Commerce Committee, Borg, Director of […]

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NASAA Outlines Concerns About Risks to Retail Investors from IPOs of Private Equity and Hedge Fund Firms

Full text of testimony available here. WASHINGTON, D.C. (July 11, 2007) —North American Securities Administrators Association (NASAA) President Joseph P. Borg today told a Congressional panel that allowing public offerings of private equity and hedge fund management firms without appropriate regulatory protections puts retail investors at risk. “Due to a lack of transparency, the level […]

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NASAA Offers Tips on How to Talk to Aging Parents About Senior Investment Fraud

WASHINGTON (May 22, 2007) — They talked about the birds and bees with you, now it’s your turn to talk dollars and sense when it comes to your parent’s financial future and how to avoid losing their nest egg to financial fraud. Free lunch seminars, high-pressure phone calls, and endless mail guaranteeing high returns with […]

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NASAA Outlines Key Concerns About Merger of Securities Industry Self-Regulatory Organizations

Borg: “The needs of investors must come first.” WASHINGTON, D.C. (May 17, 2007) —North American Securities Administrators Association (NASAA) President Joseph P. Borg today told a Senate panel that improved investor protection, rather than regulatory streamlining, should be the primary objective of the upcoming merger of two securities industry self-regulatory organizations (SRO). “Today, 100 million […]

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State Securities Regulators Identify Top 10 Traps Facing Investors

WASHINGTON (May 15, 2007) – The North American Securities Administrators Association today released its annual forecast of the Top 10 Traps likely to ensnare investors. “The path to safe investing is littered with traps that are likely to catch unwary investors. It always pays to remember that any investment that sounds too good to be […]

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Regulators Join Forces to Warn Public of Foreign Currency Trading Frauds

WASHINGTON, D.C. (May 7, 2007) – The Commodity Futures Trading Commission (CFTC) and the North American Securities Administrators Association (NASAA) today issued a joint investor alert to warn of the dangers facing retail investors who are lured into foreign currency (forex) trading frauds. The regulators cautioned investors that off-exchange forex trading by retail investors is […]

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Speakers Set for NASAA Public Policy Conference

U.S. Senator Robert Casey and Former SEC Commissioner Harvey Goldschmid to Address May 8 Conference in Washington, D.C. WASHINGTON, D.C. (April 26, 2007) —The North American Securities Administrators Association (NASAA) announced today that U.S. Senator Robert P. Casey (D-PA) and former Securities and Exchange Commissioner Harvey J. Goldschmid will be the featured speakers at its May 8 Public […]

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NASAA Offers New Podcast Series to Help Listeners Become Alert Investors

WASHINGTON, D.C. (April 18, 2007) — Knowledge is power. And nowhere is that more true than in the dynamic world of investing. But many investors today feel they lack the knowledge they need in navigating the twists and turns of the investing world. Continuing its tradition of providing information that every investor can use, the […]

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NASAA Commends Resolutions Supporting the Goals of Financial Literacy Month

Borg: ‘Educating investors of all ages empowers them to make sound financial choices” WASHINGTON (April 18, 2007) — The following is a statement from North American Securities Administrators Association President and Director of the Alabama Securities Commission Joseph P. Borg on the passage of Senate Resolution 126 and House Resolution 273, supporting the goals and ideals […]

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NASAA Highlights Financial Education Efforts at Inaugural Meeting of National Financial Education Network

WASHINGTON, D.C. (April 17, 2007) —Tennessee Assistant Commissioner for Securities Daphne Smith, on behalf of the North American Securities Administrators Association (NASAA), today highlighted the significant role state and provincial securities regulators serve in providing financial education to constituents of all ages. Speaking at the federal Financial Literacy and Education Commission’s (FLEC) inaugural meeting of […]

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