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Topic
Year
March 16, 2010

NASAA Statement on Senator Dodd's Financial Regulatory Reform Proposals

March 16, 2010 - NASAA President Denise Voigt Crawford calls proposals a "mixed bag."
February 25, 2010

NASAA Urges Senate Banking Committee to Stand Up for Investors by Retaining the Fiduciary Provisions of the Restoring American Financial Stability Act of 2009

February 25, 2010 - NASAA President contends that investors don't need another study, they need help now.
February 22, 2010

Planning Your Retirement with Confidence

February 22, 2010 - In recognition of America Saves Week, NASAA is launching a new investor education program designed to bring retirement planning assistance to the workplace.
February 3, 2010

Consumer and Investor Advocates Urge Congress to Resist Industry Efforts to Weaken Investor Protection

February 3, 2010 - Investors, including seniors, would be harmed if securities and insurance industry opposition to a fiduciary duty for investment advice prevails.
January 15, 2010

$5.15 Million Available to Investors in Securities Fraud Case

January 15, 2010 - State securities regulators are seeking as many as 27,000 investors who may be eligible to participate in a multi-million dollar distribution plan approved by the New Jersey Superior Court.
January 14, 2010

NASAA President Identifies Deregulation and Preemption of State Regulatory Authority as Significant Factors in Severity of Financial Meltdown

January 14, 2010 - In testimony before the U.S. Financial Crisis Inquiry Commission, NASAA President Denise Voigt Crawford offers a series of recommendations to strengthen investor protection.
January 11, 2010

NASAA President to Testify Before Financial Inquiry Commission

January 11, 2010 - Crawford’s testimony will provide insights on the investor protection role of state securities regulators, and she will offer a series of recommendations to enhance the ability of state securities regulators to pursue financial fraud and prosecute the perpetrators of those crimes.
January 11, 2010

Groups Urge Senate Banking Committee to Protect Investors by Adopting a Strong, Pro-Investor Fiduciary Duty for All Who Provide Investment Advice

January 11, 2010 - Seven organizations counter myths being circulated by those seeking to weaken the standard.
December 29, 2009

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]
December 29, 2009

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]




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