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NASAA Statement on Appointment of Stephen Cutler as SEC’s New Enforcement Director

October 25, 2001 – The North American Securities Administrators Association (NASAA) issued the following statement today following news of Stephen Cutler’s appointment as Director of the Division of Enforcement of the U.S. Securities and Exchange Commission: NASAA President Joseph Borg, director of the Alabama Securities Commission, said: “Steve Cutler is an excellent choice. He has the […]

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NASAA statement on SEC approval of new books and records rules

WASHINGTON (October 25, 2001) – The North American Securities Administrators Association (NASAA) today issued the following statement after the Securities and Exchange Commission adopted final amendments to its broker-dealer books and records rules (Rule 17a-3 and Rule 17a-4 under the Securities Exchange Act of 1934): “These long awaited rules will promote uniform, efficient examination of […]

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President’s Remarks, 2001 SIA Small Firms Conference

October 12, 2001, NASAA President Joseph Borg, SIA Small Firms Conference, Ft. Lauderdale, Florida

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President's Remarks, 2001 SIA Small Firms Conference

October 12, 2001, NASAA President Joseph Borg, SIA Small Firms Conference, Ft. Lauderdale, Florida

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NASAA Statement on Laura Unger’s Departure from the SEC

October 10, 2001 – The North American Securities Administrators Association (NASAA) issued the following statement after the announcement that Commissioner Laura Unger intends to resign from the Securities and Exchange Commission this fall: “Commissioner Unger recognized early on the many possible issues raised by online brokerage and her approach was both thoughtful and deliberate,” said […]

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NASAA Issues Top Five List of Investments to be Wary About

Don’t let low rates push you into bad investments, state regulators warn WASHINGTON (October 1, 2001) – With Tuesday’s interest rate cuts by the Federal Reserve pushing yields on fixed investments such as certificates of deposit and bonds to their lowest levels in years, states securities regulators today issued a list of the “Top Five” […]

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NASAA Names New Leadership Team

WASHINGTON (September 26, 2001) – Joseph Borg, president of the North American Securities Administrators Association and director of the Alabama Securities Commission, today announced the organization`s new board members and the chairs of its main committees. Joining Borg on NASAA`s nine-member board of directors are: Christine Bruenn, (president-elect) administrator of the Maine Securities Division; Deborah […]

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State regulators, SEC launch investment adviser information website

Washington (September 25, 2001) – The North American Securities Administrators Association (NASAA) and the Securities and Exchange Commission today announced the launch of a website that will allow investors to electronically access information about money managers, financial planners and other investment advisers. The Investment Adviser Public Disclosure (IAPD) website provides instant access to registration documents […]

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State securities regulators pledge to help securities firms in recovery effort

Washington, D.C., September 20, 2001 – The North American Securities Administrators Association (NASAA) today issued the following statement pledging to help securities firms in the aftermath of terrorist attacks on the World Trade Center buildings and the Pentagon: “The immediate focus of my tenure as NASAA President will be to work with my fellow state […]

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State securities regulators warn of opportunistic investment scams following attacks on World Trade Center, Pentagon

WASHINGTON (September 17, 2001) – In the wake of terrorist attacks in New York and near Washington, DC, state securities regulators warned investors to be on the lookout for opportunistic scams similar to those associated with the Year 2000 computer bug. Cold-calling telephone salespeople, advertisements, or Internet postings that tout commodities, exotic financial products, or […]

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