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2004 Headlines

October 2, 2004

New NASAA President Frank Widmann Urges Industry, Regulators to Help Investors Regain Confidence

SCOTTSDALE, ARIZONA (October 2, 2004) – Franklin L. Widmann, Chief of New Jersey’s Securities Bureau, today was named to a one-year term as President of the North American Securities Administrators Association (NASAA), succeeding Ralph A. Lambiase, Director of the Connecticut Division of Securities. NASAA is the oldest international organization devoted to investor protection. Its membership […]
October 1, 2004

NASAA Sweep Identifies Most Common Problems With Investment Advisers

State Securities Regulators Propose Best Practices to Help Advisers Develop Compliance Practices and Procedures SCOTTSDALE, ARIZONA (October 1, 2004)– The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures. NASAA is the […]
September 7, 2004

Panelists Set for NASAA Listens Forum on Rule 12b-1 Plans

Mutual Fund Industry Experts, Regulators to Gather Sept. 13 in New York WASHINGTON (September 7, 2004) —The North American Securities Administrators Association, Inc., (NASAA) is bringing together leading mutual fund industry experts and regulators for a public forum on Rule 12b-1 plans, September 13 in New York City. The “NASAA Listens” Forum will be held […]
August 30, 2004

State Securities Regulators to Host 12b-1 Forum

WASHINGTON (August 30, 2004) —The North American Securities Administrators Association, Inc., (NASAA) today announced plans to host a public forum to explore the history and purpose of Rule 12b-1 plans and to examine how these plans affect investors as well as mutual fund management companies. The “NASAA Listens” Forum is scheduled for September 13 from […]
August 26, 2004

Deutsche Bank Securities Inc. and Thomas Weisel Partners LLC Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking

Deutsche Bank Securities to Pay $87.5 Million, Including Penalty of $7.5 Million for Failing to Timely Produce All E-mail; Thomas Weisel Partners to Pay $12.5 Million WASHINGTON, NEW YORK, SACRAMENTO (August 26, 2004) – The Securities and Exchange Commission, the North American Securities Administrators Association (“NASAA”), NASD, Inc., New York Stock Exchange (“NYSE”), and state […]
August 17, 2004

NASAA Outlines Efforts to Fight Senior Investment Fraud

WASHINGTON (August 17, 2004) — North Dakota Securities Commissioner Karen Tyler, on behalf of the North American Securities Administrators Association (NASAA), today outlined the important role states play in providing financial education to help combat investment fraud against seniors. “Informed investors make tough targets for financial predators. Financial education is the first defense against investment […]
August 4, 2004

NASAA, SROs Seek Comment on New Branch Office Registration Form

NASAA Also Releases Model Branch Office Definition Rule WASHINGTON (August 4, 2004) – NASAA today joined NASD and the New York Stock Exchange (NYSE) in releasing for comment a proposed uniform branch office registration form (Form BR). This will enable broker-dealer and investment adviser firms to register branch offices electronically with NASD, the NYSE, and […]
July 28, 2004

NASAA to Relocate Corporate Office

WASHINGTON (July 28, 2004)— Effective Monday, August 2, the corporate office of the North American Securities Administrators Association, Inc. (NASAA) will relocate to 750 First Street, N.E., Suite 1140, Washington, DC, 20002. NASAA’s telephone and fax numbers, and website and e-mail addresses, will not change. NASAA Executive Director John H. Hanley said the organization’s Board […]
July 26, 2004

NASAA Names New General Counsel, Deputy General Counsel

Rex Staples and Steve Hall Appointed to Top Legal Posts WASHINGTON (July 26, 2004) — The North American Securities Administrators Association, Inc. (NASAA) announced today that Rex A. Staples will be joining the organization as its General Counsel, effective September 7. He will report to NASAA Executive Director John H. Hanley. Staples, 46, will join […]
July 14, 2004

"NASAA Listens" Forum on Arbitration To Be Webcast Live

WASHINGTON (July 14, 2004) —The North American Securities Administrators Association, Inc. today announced plans to broadcast its public “NASAA Listens” Forum on Arbitration live on the Internet. The Forum will be available on the NASAA website at 12:30 p.m. (EDT) on July 20. The 90-minute audio-only webcast also will be archived on NASAA’s website for […]