All: Regulatory Activity

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

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 […]

2009 Headlines, ARS, Enforcement Activity, Legal Activity, Newsroom Read more

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

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 […]

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Arizona Corporation Commission Notice of Proposed Order Regarding Dealer and Salesman Registration Fees and Salesman Transer Fee and Request for Comment

December 23, 2009 Print | PDF | Email

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State Securities Regulators Announce $1.3 Billion Settlement with Wells Fargo Investors in Auction Rate Securities Investigations

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 […]

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The Securities Division of the Washington Department of Financial Institutions recently filed a Rule Making Order amending its franchise registration rules

November 2, 2009 Print | PDF | Email

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Proposed Florida Rule: Disqualifying Periods for Associated Person Registrations

August 17, 2009 Print | PDF | Email

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Proposal for Uniform State Franchise Delivery Requirements

NASAA’s Franchise and Business Opportunity Project Group is soliciting both internal and public comments on a proposal for model state law provisions regarding the delivery of franchise disclosure documents. The Proposal follows new federal franchise delivery requirements adopted under an Amended Federal Trade Commission Franchise Rule in 2007. In the interests of uniformity, the Proposal recommends […]

Issues & Advocacy, NASAA Proposals, Regulatory Activity, Request for Comment Read more

New Model Rules Pertaining to Investment Adviser Solicitors

NASAA’s Investment Adviser Regulatory Policy and Review Project Group is soliciting comments from the public on a proposed model rule regarding solicitors for investment advisers. The Proposed Rule keeps intact the increased investor protection standards presently required by the states, while clarifying the conditions under which investment advisers, investment adviser representatives, and solicitors must operate. […]

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Alabama Securities Commission Notice of Fee Increase

July 27, 2009 Print | PDF | Email

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State Securities Regulators Announce Settlement with TD Ameritrade in Auction Rate Securities Investigations

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. […]

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