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NASAA Statement On State Investigation of Morgan Stanley Mutual Fund Sales Practices

WASHINGTON (July 14, 2003) –The following is a statement by Christine A. Bruenn, President of the North American Securities Administrators Association (NASAA), regarding the enforcement action against Morgan Stanley announced today by Massachusetts Secretary of State William F. Galvin and New York State Attorney General Eliot Spitzer. The oldest international organization devoted to investor protection, […]

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States Urge Congress to Reconsider Proposal That Weakens Investor Protection

WASHINGTON (July 10, 2003) — State securities regulators today voiced their strong opposition to a provision of the “Securities Fraud Deterrence and Investor Restitution Act” (H.R. 2179) that would significantly erode state investor protection efforts. “State securities regulators, the Securities and Exchange Commission, and Congress share the same goal of protecting the nation’s 85 million […]

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NASAA Names Public Information Officer

WASHINGTON (July 7, 2003) — The North American Securities Administrators Association (NASAA) today named Robert Webster, as public information officer to direct its communications program. “State securities regulators play an important role in maintaining investor confidence by serving as an early warning system for financial fraud,” NASAA President Christine A. Bruenn said. “Bob’s knowledge of the […]

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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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