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.
All: Regulatory Activity
December 21, 2011 The Honorable Tim Johnson Chairman Senate Committee on Banking, Housing, & Urban Affairs 534 Dirksen Senate Office Building Washington, DC 20510 The Honorable Richard ShelbyRanking MemberSenate Committee on Banking,Housing, & Urban Affairs534 Dirksen Senate Office BuildingWashington, DC 20510 Dear Chairman Johnson and Ranking Member Shelby: On behalf of the North American Securities Administrators Association (NASAA) I amwriting […]
November 3, 2011 The Honorable John Boehner Speaker United States House of Representatives Washington, DC 20515 The Honorable Nancy Pelosi Minority Leader United States House of Representatives Washington, DC 25015 Dear Mr. Speaker and Madam Leader: I am writing on behalf of the North American Securities Administrators Association (NASAA) to express my opposition to […]
State Securities Regulators Announce Settlement with E*TRADE in Auction Rate Securities Investigations
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.
October 5, 2011 Print | PDF | Email
The NASAA Board of Directors has authorized release for public comment the following amendments to add cross reference sheets in the NASAA Guidelines for the Registration of Asset-Backed Securities, the Registration of Equipment Programs, the Registration of Commodity Pool Programs, and the Registration of Oil and Gas Programs. Comments on the proposed amendments are invited. […]
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. 10/08/15 NASAA amicus brief filed in the Pennsylvania Superior Court supporting the Delaware Attorney […]
September 28, 2010 – “This legislation clearly is going to restructure relationships among regulators. We have an opportunity to strengthen these relationships and to engage in productive discussions about how our shared responsibilities can better protect investors.” – David S. Massey
In the event that the State Rule Proposal you are looking for is not present, please get in touch with us. [Note, some pdfs are beyond our control and some may have been removed over the years.] View all current and past state rule proposals here. 01/30/12 Washington considers proposing to amend certain WAC sections […]