Newsroom
June 29, 2009
NASAA Statement on U.S. Supreme Court Decision in Cuomo v. The Clearing House Association, LLC
WASHINGTON (June 29, 2009) –The following is a statement from North American Securities Administrators Association President and Colorado Securities Commissioner Fred Joseph on the U.S. Supreme Court’s decision in Cuomo v. Clearing House. In March 2009, NASAA filed an amicus brief with the Court arguing that the rules of the Office of the Comptroller of […]
June 17, 2009
NASAA Statement on Obama Financial Regulatory Reform Proposals
WASHINGTON, D.C. (June 17, 2009) – The following is a statement by North American Securities Administrators Association (NASAA) President and Colorado Securities Commissioner Fred Joseph on the release of the Obama Administration’s comprehensive plan to restructure the system of financial services regulation in the United States to better protect American investors and consumers. NASAA is […]
June 15, 2009
NASAA, NAPSA Unite to Fight Financial Elder Abuse
State Securities Regulators & Adult Protective Services Workers Announce Partnership to Prevent Elder Abuse Washington, D.C. (June 15, 2009)––The North American Securities Administrators Association (NASAA) and the National Adult Protective Services Association (NAPSA) today announced they will join forces to protect seniors from the growing threat of elder financial abuse, which includes financial exploitation and […]
June 10, 2009
NASAA Applauds Obama Directive Affirming the Value of State Regulatory Authority
WASHINGTON, D.C. (June 10, 2009) – The North American Securities Administrators Association today commended the Obama administration for affirming the vital role that state regulators play in protecting American investors and consumers. “We sincerely appreciate your recognition that states have frequently been more aggressive than the national government in protecting the public’s interest,” NASAA President […]
June 4, 2009
NASAA President Appointed to SEC Investor Advisory Committee
WASHINGTON (June 4, 2009) – State securities regulators have joined forces with their federal counterparts to give investors a greater voice in Washington. Fred Joseph, president of the North American Securities Administrators Association (NASAA) and Colorado Securities Commissioner, will serve on the newly created Investor Advisory Committee of the Securities and Exchange Commission. “State securities […]
May 28, 2009
NASAA Supports the Hedge Fund Adviser Registration Act of 2009 (H.R. 711)
Legislation Would Require Hedge Fund Advisers to Register with SEC WASHINGTON (May 28, 2009) – The North America Securities Administrators Association (NASAA) today endorsed proposed bipartisan legislation that would require hedge fund advisers to register with the Securities and Exchange Commission under the Investment Advisers Act of 1940. The Hedge Fund Adviser Registration Act of […]
May 21, 2009
NASAA Voices Support for Arbitration Fairness Act of 2009 (S. 931, H.R. 1020)
WASHINGTON, D.C. (May 21, 2009) –The North American Securities Administrators Association (NASAA) today announced its full support of the Arbitration Fairness Act of 2009 (S. 931, H.R. 1020), which seeks to protect the right of Americans to have their day in court by making pre-dispute agreements requiring arbitration for any employment, consumer, franchise or civil […]
May 6, 2009
NASAA Reminds Investors to Investigate Before Investing
State Securities Regulators Offer Extensive Background Information on Stockbrokers and Investment Advisers WASHINGTON, D.C. (May 6, 2009)—The Madoff Ponzi scheme and other high-profile breaches of trust by financial professionals are strong reminders of the need to check the background of financial professionals before you trust them with your money, the North American Securities Administrators Association (NASAA) […]
May 4, 2009
State Securities Regulators Voice Strong Support For Senior Investment Protection Act
NASAA Applauds Sen. Herb Kohl’s Leadership in the Ongoing Fight Against Senior Investment Fraud WASHINGTON, D.C., May 4, 2009—The North American Securities Administrators Association (NASAA) today announced its strong support for the “Senior Investment Protection Act of 2009” (S. 906), legislation designed to protect senior investors from unscrupulous and unqualified financial advisers. Introduced by Sen. […]
April 29, 2009
