July 1, 2009

June 30, 2009 

The NASAA CRD/IARD Steering Committee and the CRD/IARD Forms and Process Committee have worked with FINRA, regulators, and representatives of the financial services industry in developing amendments to the Form U4 and Form U5. The proposed changes have been published by both FINRA and the SEC for public comment.  On May 13, 2009, the SEC [...]

June 4, 2009

The NASAA Coordinated Interpretations Project Group requests comment from the public on the adoption of a new Statement of Policy Regarding Multi-State Review of Requests for Interpretative Opinions and No-Action Letters. The comment period begins February 20, 2009 and will remain open for 30 days.  Accordingly, all comments should be submitted on or before March [...]

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. December 11, 2008 — A delegation of state securities regulators today offered the incoming Obama Administration and the 111th Congress a series of principles and recommendations to ensure that efforts to reform the financial services regulatory structure provide Main Street investors with a system that is strong, comprehensive, collaborative and efficient. The members [...]

November 20, 2008 

November 17, 2008

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 [...]