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NASAA Statement on HR 2179

(May 21, 2003) – “We support more resources and investigative powers for the SEC, as this legislation would provide,” said Christine Bruenn, president of NASAA and director of the Maine Office of Securities. “More and better-equipped cops on the securities beat can help restore confidence in our markets. “However, we’re troubled by the description of […]

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Securities Regulators Unveil Fraud Awareness Quiz

Washington (April 30, 2003)  — Are you at risk of becoming a victim of financial fraud? A simple quiz released today by Canadian and U.S. state securities regulators will help answer that question, while testing – and increasing – the financial knowledge of North Americans. The North American Securities Administrators Association (NASAA) and the Canadian […]

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Ten of Nation`s Top Investment Firms Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking

Historic Settlement Requires Payments of Penalties of $487.5 Million, Disgorgement of $387.5 Million, Payments of $432.5 Million to Fund Independent Research, and Payments of $80 Million to Fund Investor Education And Mandates Sweeping Structural Reforms Washington, DC and New York, (Apr. 28, 2003) — North American Securities Administrators Association President Christine Bruenn, Securities and Exchange Commission […]

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President’s Remarks at SEC Regarding Global Settlement

April 28, 2003, NASAA President Christine Bruenn, Securities and Exchange Commission, Washington, D.C.

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President's Remarks at SEC Regarding Global Settlement

April 28, 2003, NASAA President Christine Bruenn, Securities and Exchange Commission, Washington, D.C.

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War, terror fears could be exploited by con artists, securities regulators warn

WASHINGTON (March 28, 2003) — With the U.S. on the brink of war with Iraq and heightened warnings of terrorism at home, investors should not make panicky financial decisions, state securities regulators advised Tuesday. They also repeated warnings, issued in the wake of the September 11 attacks and at the height of concerns about Year […]

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NYSE’s Dick Grasso to address NASAA conference

Panels will also focus on restitution, arbitration and what investors want from Washington WASHINGTON (March 13, 2003) — Dick Grasso, Chairman and CEO of the New York Stock Exchange, will be the luncheon speaker at the North American Securities Administrators Association’s (NASAA’s) 18th annual Public Policy Conference on Monday April 7th. Grasso plans to address […]

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Beware of oil and gas schemes, state securities regulators warn investors

Con artists may seek to exploit fears over Mideast, oil supply WASHINGTON (March 6, 2003)  – With oil prices near $40 a barrel because of supply shortages and Mideast war fears, state securities regulators anticipate an increase in oil and gas scams. Regulators in at least seven states — Kansas, Kentucky, Ohio, Oklahoma, Texas, Washington […]

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NASAA Board action on investment adviser SRO idea

(February 24, 2003) – The NASAA Board of Directors earlier this month voted to recommend to the membership that NASAA rescind its 1989 vote endorsing a self-regulatory organization (SRO) for investment advisers. Following passage of the National Securities Markets Improvement Act of 1996, regulation of investment advisers was divided between the Securities and Exchange Commission […]

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NASAA statement on the confirmation of William Donaldson as chairman of the Securities and Exchange Commission

February 14, 2003 – The North American Securities Administrators Association (NASAA) issued the following statement today, following the Senate confirmation of William Donaldson as the new chairman of the Securities and Exchange Commission: State securities regulators look forward to working with Chairman Donaldson on issues that affect Main Street investors. Without question, he faces one of […]

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