All: Regulatory Activity

Washington Securities Division Files Notice of Preproposal Statement of Inquiry Concerning Mortgage Paper Securities

June 4, 2009 Print | PDF | Email

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NASAA's Proposed Adoption of a Statement of Policy Regarding Multi-State Review of Requests for Interpretive Opinions and No-Action Letters

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 […]

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

NASAA’s Proposed Adoption of a Statement of Policy Regarding Multi-State Review of Requests for Interpretive Opinions and No-Action Letters

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 […]

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ARS Arbitration Information Center

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 […]

ARS, Enforcement Activity, Issues & Advocacy, Legal Activity Read more

NASAA Outlines Regulatory Reform Plan Promoting Wall Street Change for the Benefit of Main Street

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 […]

2008 Headlines, Newsroom, Regulatory Activity Read more

Maryland Securities Commissioner Issues Order for Revised Notice Filing Requirements for Form D

November 20, 2008  Print | PDF | Email

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The North Carolina Division of Securities Seeks Comments on Proposals

November 17, 2008 Print | PDF | Email

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State Securities Regulators Remind Auction Rate Securities Investors to Contact Firms About Buyback Offers

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 […]

2008 Headlines, ARS, Enforcement Activity, Legal Activity, Newsroom Read more

State Securities Regulators Announce Settlement with Bank of America and RBC Capital Markets Corp. in Auction Rate Securities Investigations

WASHINGTON, D.C. October 8, 2008 — The North American Securities Administrators Association (NASAA) today announced that Bank of America Securities LLC, Bank of America Investment Services, Inc., RBC Capital Markets Corporation (on behalf of its affiliates including Ferris Baker Watts, Inc. and J. B. Hanauer & Co.) and state and federal securities regulators have reached […]

2008 Headlines, ARS, Enforcement Activity, Legal Activity, Newsroom Read more

NASAA’s Proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines

NASAA’s Franchise and Business Opportunities Project Group has released for internal and public comment a proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines (“2008 Franchise Commentary”). The 2008 Franchise Commentary contains practical guidance about complying with new Franchise Registration and Disclosure Guidelines and addresses questions of interpretation that have arisen about those Guidelines. The […]

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