Newsroom
September 22, 2008
Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
Washington, D.C., Sept. 22, 2008 – As part of the Securities and Exchange Commission’s third annual Seniors Summit held in Washington today, the staff of the SEC along with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) released a joint report outlining practices that financial services firms can use […]
September 17, 2008
2008 Presidential Speech, Colorado Securities Commissioner Fred Joseph
September 17, 2008, NASAA Annual Conference, Las Vegas, Nevada
September 17, 2008
NASAA Installs New President, Board of Directors
Colorado Securities Commissioner Fred Joseph Named NASAA President LAS VEGAS, NEVADA, September 17, 2008—Colorado Securities Commissioner Fred Joseph today was elected to a one-year term as President of the North American Securities Administrators Association (NASAA). He succeeds North Dakota Securities Commissioner Karen Tyler. Texas Securities Commissioner Denise Voigt Crawford will serve as NASAA’s President-elect. NASAA […]
September 16, 2008
State Securities Regulators Announce Settlement with Credit Suisse Securities in Auction Rate Securities Investigation
WASHINGTON, D.C. September 16, 2008 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Credit Suisse Securities (USA) LLC and state securities regulators, which will provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The […]
September 11, 2008
NASAA Supports SEC Equity-Indexed Annuities Proposal
WASHINGTON, D.C. September 11, 2008—The North American Securities Administrators Association (NASAA) today endorsed a proposed rule by the U.S. Securities and Exchange Commission that would subject equity-indexed annuities (EIAs) to regulation under the federal securities laws and would help protect millions of investors across the country, many of them senior citizens, from the fraud and […]
August 21, 2008
State Securities Regulators Announce Settlements with Merrill Lynch, Goldman Sachs, Deutsche Bank in Auction Rate Securities Investigations
WASHINGTON, D.C. August 21, 2008 — The North American Securities Administrators Association (NASAA) today announced that settlements in principle have been reached between Merrill Lynch & Co. Inc., Goldman Sachs Group Inc., Deutsche Bank Securities Inc, Deutsche Bank AG and state securities regulators, which will give thousands of the firms’ clients access to billions of […]
August 15, 2008
Securities Regulators Announce Settlement With Wachovia Over Sale of Auction Rate Securities
WASHINGTON, D.C. August 15, 2008 — Karen Tyler, President of the North American Securities Administrators Association (NASAA), today announced that a settlement in principle has been reached between Wachovia Securities and state and federal securities regulators. The settlement will provide thousands of Wachovia clients with access to billions of dollars in funds that have been […]
August 14, 2008
State Securities Regulators Announce Settlements with JP Morgan, Morgan Stanley in Auction Rate Securities Investigations
WASHINGTON, D.C. August 14, 2008 — The North American Securities Administrators Association (NASAA), Illinois Securities Department and Florida Office of Financial Regulation, along with the New York Office of the Attorney General, today announced that settlements have been reached with JP Morgan and its affiliates (including Bear Stearns & Co. Inc.) and Morgan Stanley, which […]
August 11, 2008
Securities Regulators Announce Settlement with UBS in Auction Rate Securities Investigation
WASHINGTON, D.C. August 11, 2008 — Karen Tyler, President of the North American Securities Administrators Association (NASAA), announced today that a settlement in principle has been reached between UBS Securities LLC and UBS Financial Services, Inc. (UBS) and state and federal securities regulators. The settlement will provide thousands of UBS clients with access to billions […]
August 7, 2008
