January 18, 2012 – NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.
October 19, 2011 – NASAA today announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.
Investigative Report on “Free Lunch” Seminars Report of the Task Force on the Future of Shared State and Federal Securities Regulation Functional Regulation in the 21st Century: What’s Reasonable for Investor Protection and for Agents Selling Variable Annuities? NASAA Day Trading Report & Analysis In 1999, NASAA issued an extensive report based on a seven-month […]
NASAA plays an important role in representing the membership’s position, including as amicus curiae, in significant legal proceedings that may have a widespread impact upon securities regulators and the rights of investors. An index of all NASAA legal briefs is below. 05/08/13 NASAA’s brief to the National Adjudicatory Council in FINRA Department of Enforcement v. […]
WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]
WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Stifel, Nicolaus & Co., Inc. and state securities regulators to provide relief for the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. The settlement […]
WASHINGTON, D.C. November 18, 2009 – The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between Wells Fargo Investments LLC and state securities regulators to return approximately $1.3 billion to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. Since […]
WASHINGTON, D.C. July 20, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between online brokerage TD Ameritrade, Inc. and state securities regulators to return approximately $456 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. […]
Here you will find general information regarding the Special Arbitration Procedures applicable to the ARS settlements. There may be certain differences in the SAP’s, depending on the firm. In this case, as soon as these differences are known, NASAA will enumerate them here along with appropriate updates to the general procedure and appropriate instructions. Several […]
WASHINGTON, D.C. November 10, 2008 — As state securities regulators continue their efforts to provide relief to investors who have had their funds frozen in the auction rate securities (ARS) market, the North American Securities Administrators Association (NASAA) today reminded ARS investors of their redemption opportunities, which were reached as part of the settlements between […]
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