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NASAA Sweep Identifies Investment Adviser Problems

State Securities Regulators Also Propose Best Practices MINNEAPOLIS, MINNESOTA (September 13, 2005) – The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices for investment advisers to consider in order to improve their compliance practices and procedures. NASAA President Patricia D. Struck said the best […]

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Incoming NASAA President Struck to Stress Respect and Collaboration

“We must share a high level of respect for investors” MINNEAPOLIS, MINNESOTA (September 13, 2005) – Patricia D. Struck, Administrator of the Wisconsin Division of Securities, today was named to a one-year term as President of the North American Securities Administrators Association (NASAA), succeeding Franklin L. Widmann, Chief of the New Jersey Bureau of Securities. […]

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NASAA President Widmann’s Remarks on Hurricane Katrina

September 11, 2005, NASAA Annual Conference, Minneapolis, Minnesota

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NASAA President Widmann's Remarks on Hurricane Katrina

September 11, 2005, NASAA Annual Conference, Minneapolis, Minnesota

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NASAA Members Serving Investors in Wake of Hurricane Katrina

WASHINGTON (September 2, 2005) —State securities regulators in Louisiana, Mississippi, Alabama, and Florida are open and serving investors following the massive destruction caused by Hurricane Katrina, the North American Securities Administrators Association reported today. “NASAA members throughout the United States, Canada, and Mexico send our thoughts and prayers to the citizens of Louisiana, Mississippi, Alabama, and […]

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NASAA Advises Investors to Beware of Hurricane-related Scams

WASHINGTON (September 1, 2005) —In the wake of widespread devastation caused by Hurricane Katrina in Louisiana, Mississippi, Alabama, and Florida, the North American Securities Administrators Association (NASAA) today warned investors to beware of opportunistic investment scams. “Bottom-feeding con artists always try to find ways to exploit tragic headlines to cash in on unsuspecting investors,” said […]

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NASAA Statement on SEC Chairman Cox

WASHINGTON (August 3, 2005) —The following is a statement from North American Securities Administrators Association (NASAA) President and New Jersey Securities Bureau Chief Franklin L. Widmann on Securities and Exchange Commission Chairman Christopher Cox, who was sworn in today after receiving Senate confirmation last week. “State securities regulators and the SEC share a common mission to […]

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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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