Newsroom
February 24, 2009
NASAA Statement on FINRA Leadership
WASHINGTON—The following is a statement from North American Securities Administrators Association (NASAA) President and Colorado Securities Commissioner Fred Joseph on the appointment today of Richard G. Ketchum to succeed Mary L. Schapiro as CEO of the Financial Industry Regulatory Authority (FINRA) effective March 16, 2009. “In today’s financial climate, investors more than ever need the […]
February 23, 2009
NASAA Focuses on Fraud Prevention During America Saves Week
Protect Wealth through Fraud Prevention WASHINGTON, D.C. — The North American Securities Administrators Association (NASAA) has joined America Saves Week to encourage investors not only to save but also to protect their assets through fraud prevention. America Saves Week partners urge consumers to take financial action by committing to save, invest and build wealth. NASAA […]
January 29, 2009
An Agenda for Change: How the 111th Congress Can Better Protect Investors
January 29, 2009, NASAA President Fred Joseph, National Press Club, Washington, DC
January 29, 2009
NASAA Offers Pro-Investor Legislative Agenda
Agenda Outlines How 111th Congress Can Help Protect Investors WASHINGTON, D.C. January 29, 2009 – State securities regulators today called upon Congress to take bold actions to better protect Main Street investors amid the increasing challenges of a faltering economy. The North American Securities Administrators Association (NASAA) outlined a sweeping legislative agenda for the 111th […]
December 18, 2008
NASAA Statement on Selection of Mary Schapiro as SEC Chairman
WASHINGTON, D.C. December 18, 2008 — The following is a statement from Fred Joseph, President of the North American Securities Administrators Association, on the selection today by President-elect Obama of Mary Schapiro to lead the U.S Securities and Exchange Commission: “The selection of Mary Schapiro to lead the SEC sends a clear signal that the […]
December 17, 2008
NASAA Statement on SEC Equity-Indexed Annuity Rule
WASHINGTON, D.C. December 17, 2008 – The following is a statement from the North American Securities Administrators Association on the vote today by the U.S. Securities and Exchange Commission (SEC) to subject equity-indexed annuities (EIAs) to regulation under the federal securities laws. NASAA’s membership consists of the securities administrators in the 50 states, the District […]
December 16, 2008
State Securities Regulators Offer Tips to Help Investors Avoid Dishonest Investment Professionals
WASHINGTON, D.C. (December 16, 2008) – The North American Securities Administrators Association (NASAA) today offered investors a series of tips to avoid dishonest investment services providers in the wake of the unfolding scandal in which scores of investors lost upward of $50 billion after a New York money management firm tumbled like a house of […]
December 11, 2008
NASAA Outlines Regulatory Reform Plan Promoting Wall Street Change for the Benefit of Main Street
WASHINGTON, D.C. December 11, 2008 — A delegation of state securities regulators today offered the incoming Obama Administration and the 111th Congress a series of principles and recommendations to ensure that efforts to reform the financial services regulatory structure provide Main Street investors with a system that is strong, comprehensive, collaborative and efficient. The members […]
December 8, 2008
Financial Services Regulatory Reform Roundtable to be Webcast
WASHINGTON, D.C., December 8, 2008—The North American Securities Administrators Association, Inc. (NASAA) today announced that its upcoming public roundtable on financial services regulatory reform will be webcast live on the Internet. The 90-minute audio-only webcast will begin at 12:30 p.m. (EST) on December 11 and also will be archived on NASAA’s website for later listening. […]
December 2, 2008
