All: Newsroom

NASAA Installs New President, Board of Directors

Alabama’s Joseph P. Borg Named NASAA President; North Dakota’s Karen Tyler to Serve as President-Elect SAN DIEGO, CALIFORNIA (September 19, 2006) – Joseph P. Borg, Director of the Alabama Securities Commission, today was elected to a second one-year term as President of the North American Securities Administrators Association (NASAA) after serving as NASAA President in 2001-2002. […]

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2006 Presidential Speech, Alabama Securities Commission Director Joseph Borg

September 19, 2006, NASAA Annual Conference, San Diego, California

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NASAA Examinations Identify Top BD Compliance Deficiencies

State Securities Regulators Propose Series of Best Practices SAN DIEGO, CALIFORNIA (September 18, 2006) – The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures. NASAA President Patricia D. Struck said the […]

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NASAA to Host Annual Conference in San Diego September 17-19

Conference to Feature Panels, Forums on Topics of Interest to Securities Regulators and Financial Services Industry WASHINGTON (September 6, 2006) – The North American Securities Administrators Association (NASAA) will host its 89th Annual Conference in San Diego, California, from September 17-19 to examine investor protection issues of importance to securities regulators and the financial services industry, […]

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State Financial Regulators Seek to Retain State Enforcement Role in Data Security Legislation

WASHINGTON, D.C. (August 16, 2006)  – Groups representing state financial services regulators today announced their strong support of preserving the role of states in enforcement of the law in any federal data security legislation that might be enacted. The Conference of State Bank Supervisors (CSBS) joined with the National Association of State Credit Union Supervisors (NASCUS) […]

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NASAA Survey Shows Senior Investment Fraud Accounts for Nearly Half of all Complaints Received by State Securities Regulators

Unregistered Securities, Variable and Equity Indexed Annuities Most Pervasive Financial Products Involved in Senior Investment Fraud WASHINGTON (July 17, 2006)—With the first ‘Baby Boomers’ turning 60 this year, state securities regulators warned today that investment fraud among seniors, which already accounts for nearly half of all investor complaints received by state securities regulators, could grow significantly […]

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NASAA Statement on Wachovia Capital Markets LLC Settlement

WASHINGTON, DC. (July 5, 2006)—North American Securities Administrators Association (NASAA) President and Wisconsin Securities Administrator Patricia D. Struck, released the following statement today after state securities regulators announced a $25 million multistate settlement of enforcement actions against Wachovia Capital Markets LLC involving allegations of potential conflicts of interest between the firm’s research and investment banking […]

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Consumers, Regulators, and Industry Groups Join to Produce Investor Education Brochure

Free Publication Designed to Address Consumer Confusion about Stockbrokers, Investment Advisers, and Financial Planners WASHINGTON, D.C. (May 9, 2006) —The Coalition on Investor Education – a broad group of consumer organizations, state securities regulators, and investment services providers – today released a free brochure designed to guide investors through the process of choosing an investment […]

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SEC and NASAA Launch Program to Protect Senior Investors

Joint Initiative Includes Aggressive Enforcement, Targeted Examinations, and Investor Education and Outreach Programs Washington, D.C. (May 8, 2006) – Securities and Exchange Commission Chairman Christopher Cox  and North American Securities Administrators Association President Patricia D. Struck today announced a joint national initiative designed to protect seniors from investment fraud and sales of unsuitable securities. The initiative, […]

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Panelists Announced for NASAA Policy Forum

May 9 Forum to Focus on Regulatory, Business Challenges Raised as Baby Boomers Near Retirement WASHINGTON, D.C. (April 27, 2006) —The North American Securities Administrators Association Inc. (NASAA) today announced panelists for its May 9 Policy Forum, which will focus on the regulatory and business issues raised as the first of the Baby Boom generation turns […]

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