Newsroom
August 4, 2004
NASAA, SROs Seek Comment on New Branch Office Registration Form
NASAA Also Releases Model Branch Office Definition Rule WASHINGTON (August 4, 2004) – NASAA today joined NASD and the New York Stock Exchange (NYSE) in releasing for comment a proposed uniform branch office registration form (Form BR). This will enable broker-dealer and investment adviser firms to register branch offices electronically with NASD, the NYSE, and […]
July 28, 2004
NASAA to Relocate Corporate Office
WASHINGTON (July 28, 2004)— Effective Monday, August 2, the corporate office of the North American Securities Administrators Association, Inc. (NASAA) will relocate to 750 First Street, N.E., Suite 990, Washington, DC, 20002. NASAA’s telephone and fax numbers, and website and e-mail addresses, will not change. NASAA Executive Director John H. Hanley said the organization’s Board […]
July 26, 2004
NASAA Names New General Counsel, Deputy General Counsel
Rex Staples and Steve Hall Appointed to Top Legal Posts WASHINGTON (July 26, 2004) — The North American Securities Administrators Association, Inc. (NASAA) announced today that Rex A. Staples will be joining the organization as its General Counsel, effective September 7. He will report to NASAA Executive Director John H. Hanley. Staples, 46, will join […]
July 14, 2004
"NASAA Listens" Forum on Arbitration To Be Webcast Live
WASHINGTON (July 14, 2004) —The North American Securities Administrators Association, Inc. today announced plans to broadcast its public “NASAA Listens” Forum on Arbitration live on the Internet. The Forum will be available on the NASAA website at 12:30 p.m. (EDT) on July 20. The 90-minute audio-only webcast also will be archived on NASAA’s website for […]
June 21, 2004
State Securities Regulators to Host Arbitration Forum
Public Forum to be Held as Record Numbers of Investors Turn to Arbitration to Resolve Disputes WASHINGTON (June 21, 2004) —The North American Securities Administrators Association, Inc., today announced plans to host a public forum to explore the strengths and weaknesses of the arbitration process from a variety of perspectives. The “NASAA Listens” Forum is […]
June 2, 2004
Senate Banking Committee Examines Important Role of State Securities Regulators in Protecting Investors
WASHINGTON (June 2, 2004)—In testimony before the Senate Banking Committee, state securities regulators today highlighted the important role states play in protecting investors, whether from abusive mutual fund and variable annuity sales practices or back-office boiler-room operators pitching fly-by-night investment scams. “State securities administrators share a common passion for protecting citizens from investment fraud and […]
May 20, 2004
NASAA Outlines Financial Education Initiatives in Testimony Before Federal Commission
WASHINGTON (May 20, 2004) — North Dakota Securities Commissioner Karen Tyler, on behalf of the North American Securities Administrators Association (NASAA), today outlined for the federal Financial Literacy and Education Commission the important role states play in providing financial education to help people from all walks of life build financial knowledge and security. “State securities […]
May 11, 2004
NASAA Comments on SEC Mutual Fund Proposals
WASHINGTON (May 11, 2004)—In separate comment letters to the SEC, NASAA President and Connecticut Securities Director Ralph Lambiase calls for the agency to eliminate mutual fund 12b-1 fees and suggests that requiring mutual funds to impose a minimum holding period for fund shares would more effectively curtail market-timing abuses than the imposition of a mandatory […]
April 30, 2004
President’s Remarks, NASAA CRD/IARD Training
April 30, 2004, NASAA President Ralph Lambiase, NASAA CRD/IARD Training, Atlanta, Georgia
April 30, 2004
