2005 Headlines
November 22, 2005
Panelists Set For NASAA Forum on Naked Short Selling
Experts to Gather November 30 in Washington WASHINGTON (November 22, 2005) —The North American Securities Administrators Association, Inc., (NASAA) today announced participants for its upcoming “NASAA Listens” Forum to explore possible market manipulation through naked short selling activity. The forum is scheduled for November 30 from 1 p.m. to 3 p.m. at the Paris Ballroom […]
November 17, 2005
NASAA to Host Forum on Naked Short Selling
Experts to Examine Efforts to Curb Market Manipulation by Stemming Abusive Naked Short Selling Activity WASHINGTON (November 17, 2005)—The North American Securities Administrators Association, Inc. (NASAA) today announced plans to host a public forum to explore possible market manipulation through naked short selling activity. The “NASAA Listens” Forum is scheduled for November 30 from 1 p.m. […]
October 7, 2005
SEC, NASAA Announce IARD System Fee Waiver
WASHINGTON, D.C. (October 7, 2005) —The U.S. Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) today announced a one-year waiver of certain system fees paid by investment advisers and all investment adviser representatives for registration in the Investment Adviser Registration Depository (IARD) program. Separately, NASAA also announced that it is […]
October 6, 2005
NASAA, NASD, and NYSE Regulation Applaud SEC Approval of New, Uniform Definition of “Branch Office” and Centralized Registration System
Action to Reduce Regulatory Burden on Firms Result of Joint Initiative Washington DC and New York (October 6, 2005) — New York Stock Exchange (NYSE) Regulation, NASD and the North American Securities Administrators Association (NASAA) today applauded the U.S. Securities and Exchange Commission (SEC) for approving a common definition of “branch office” in the securities […]
September 13, 2005
NASAA Sweep Identifies Investment Adviser Problems
State Securities Regulators Also Propose Best Practices MINNEAPOLIS, MINNESOTA (September 13, 2005) – The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices for investment advisers to consider in order to improve their compliance practices and procedures. NASAA President Patricia D. Struck said the best […]
September 13, 2005
Incoming NASAA President Struck to Stress Respect and Collaboration
“We must share a high level of respect for investors” MINNEAPOLIS, MINNESOTA (September 13, 2005) – Patricia D. Struck, Administrator of the Wisconsin Division of Securities, today was named to a one-year term as President of the North American Securities Administrators Association (NASAA), succeeding Franklin L. Widmann, Chief of the New Jersey Bureau of Securities. […]
September 2, 2005
NASAA Members Serving Investors in Wake of Hurricane Katrina
WASHINGTON (September 2, 2005) —State securities regulators in Louisiana, Mississippi, Alabama, and Florida are open and serving investors following the massive destruction caused by Hurricane Katrina, the North American Securities Administrators Association reported today. “NASAA members throughout the United States, Canada, and Mexico send our thoughts and prayers to the citizens of Louisiana, Mississippi, Alabama, and […]
September 1, 2005
NASAA Advises Investors to Beware of Hurricane-related Scams
WASHINGTON (September 1, 2005) —In the wake of widespread devastation caused by Hurricane Katrina in Louisiana, Mississippi, Alabama, and Florida, the North American Securities Administrators Association (NASAA) today warned investors to beware of opportunistic investment scams. “Bottom-feeding con artists always try to find ways to exploit tragic headlines to cash in on unsuspecting investors,” said […]
August 3, 2005
NASAA Statement on SEC Chairman Cox
WASHINGTON (August 3, 2005) —The following is a statement from North American Securities Administrators Association (NASAA) President and New Jersey Securities Bureau Chief Franklin L. Widmann on Securities and Exchange Commission Chairman Christopher Cox, who was sworn in today after receiving Senate confirmation last week. “State securities regulators and the SEC share a common mission to […]
July 28, 2005
