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July 24, 2008

NASAA Statement on FINRA Arbitration Pilot Program

WASHINGTON, D.C. July 24, 2008—The following is a statement by North American Securities Administrators Association (NASAA) President and North Dakota Securities Commissioner Karen Tyler regarding the Financial Industry Regulatory Authority (FINRA) pilot program to allow certain investors making arbitration claims to choose a panel made up of three public arbitrators instead of the current system, […]
July 21, 2008

NASAA: Court Decision a Major Victory for Investors

WASHINGTON, D.C. July 21, 2008—The North American Securities Administrators Association (NASAA) today hailed as a major victory for investors a federal appellate court decision involving a stockbroker’s attempt to remove customer complaint information from his state-owned disciplinary record. In its July 15 decision in Karsner v. Lothian, the U.S. Court of Appeals for the District […]
July 7, 2008

New Hampshire Gov. Lynch Signs Senior Investor Protection Legislation Into Law

New Hampshire Law Adopts Provisions Based on NASAA Model Rule on the Use of Senior Certifications and Professional Designations WASHINGTON, D.C. July 7, 2008—New Hampshire Governor John Lynch today signed into law HB 1274, making New Hampshire the first state to legislatively adopt provisions based on NASAA’s Model Rule on the Use of Senior Certifications […]
June 27, 2008

NASAA Voices Strong Support for Casey/Kohl Legislation to Enhance Penalties for Investment Fraud Against Seniors

WASHINGTON, D.C. June 27, 2008—State securities regulators today voiced strong support for the Senior Investor Protections Enhancement Act of 2008 introduced by U.S. Senators Robert P. Casey (D-PA) and Herbert H. Kohl (D-WI) to strengthen penalties for securities law violations involving senior victims. “State securities regulators believe that every investor deserves protection, none more so […]
June 25, 2008

NASAA Commends SEC for Advancing Equity Indexed Annuities Proposal

Tyler: “Shielding investors from the predatory sale of EIAs is one of the most important steps the SEC can take to advance the cause of Main Street investor protection.” WASHINGTON, D.C. June 25, 2008—The North American Securities Administrators (NASAA) today commended the U.S. Securities and Exchange Commission (SEC) for issuing a rule proposal related to […]
June 18, 2008

NASAA Forum on Securities Arbitration to be Webcast

WASHINGTON, D.C., June 19, 2008—The North American Securities Administrators Association, Inc. (NASAA) today said its upcoming public forum on securities arbitration will be webcast live on the Internet. The webcast, Arbitration is Broken: How Can it be Fixed?, will be available on the NASAA website at 12:30 p.m. (EDT) on June 24. The two-hour audio-only […]
June 17, 2008

NASAA Identifies Traps Likely to Burn Investors This Summer

WASHINGTON, D.C. June 17, 2008—As summer approaches, the North American Securities Administrators Association warns that scamsters are using every trick under the sun to separate unsuspecting investors from their hard-earned dollars. State and provincial securities regulators caution investors to screen themselves from hot energy-related tips, speculative real estate promotions, unsolicited invitations from new online “friends,” […]
June 12, 2008

Leading Arbitration Experts to Speak at NASAA Forum on Securities Arbitration

WASHINGTON, D.C. June 12, 2008—The North American Securities Administrators Association (NASAA) is bringing together leading arbitration experts for a public forum to discuss the current securities arbitration system and offer constructive steps to restore choice, fairness, and balance to the securities arbitration process. The forum, Arbitration is Broken: How Can it be Fixed?, is scheduled […]
May 27, 2008

NASAA to Host Securities Arbitration Forum

Forum to Focus on Restoring Choice, Fairness, and Balance to the Securities Arbitration Process WASHINGTON, D.C. May 27, 2008—The North American Securities Administrators Association (NASAA) today announced it will host a public forum to examine the current securities arbitration system and offer constructive steps to restore choice, fairness, and balance to the securities arbitration process. The […]
April 29, 2008

State Securities Regulators Launch Program to Help Law Enforcement Investigate Investment Fraud

WASHINGTON, D.C. (April 29, 2008) – The North American Securities Administrators Association (NASAA) today announced a new outreach program that provides law enforcement with resources and information to help investigate public complaints about investment fraud. Designed for use by law enforcement officers and district attorneys, the Law Enforcement Outreach Program features a series of resources […]




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