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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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NASAA Statement on Terrorist Attacks on World Trade Center, Pentagon

WASHINGTON  (September 11, 2001) – The North American Securities Administrators Association (NASAA) today issued the following statement after terrorist attacks on the World Trade Center and other locations: “We extend our deepest condolences to those who lost loved ones, friends or colleagues in this terrible tragedy,” said Joseph Borg, NASAA president and director of securities […]

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NASAA Hires New Associate General Counsel

WASHINGTON  (September 6, 2001) — The North American Securities Administrators Association (NASAA) today named Stephen Hall, 46, associate general counsel. Hall comes to NASAA from the private sector, where he focused on civil litigation, lender representation and venture capital. Prior to that, Hall served as a trial attorney and associate director of enforcement at the […]

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