Newsroom
January 15, 2010
$5.15 Million Available to Investors in Securities Fraud Case
January 15, 2010 - State securities regulators are seeking as many as 27,000 investors who may be eligible to participate in a multi-million dollar distribution plan approved by the New Jersey Superior Court.
January 14, 2010
NASAA President Identifies Deregulation and Preemption of State Regulatory Authority as Significant Factors in Severity of Financial Meltdown
January 14, 2010 - In testimony before the U.S. Financial Crisis Inquiry Commission, NASAA President Denise Voigt Crawford offers a series of recommendations to strengthen investor protection.
January 11, 2010
NASAA President to Testify Before Financial Inquiry Commission
January 11, 2010 - Crawford’s testimony will provide insights on the investor protection role of state securities regulators, and she will offer a series of recommendations to enhance the ability of state securities regulators to pursue financial fraud and prosecute the perpetrators of those crimes.
January 11, 2010
Groups Urge Senate Banking Committee to Protect Investors by Adopting a Strong, Pro-Investor Fiduciary Duty for All Who Provide Investment Advice
January 11, 2010 - Seven organizations counter myths being circulated by those seeking to weaken the standard.
December 29, 2009
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 […]
December 29, 2009
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 […]
December 14, 2009
NASAA Applauds House Passage of Regulatory Reform Bill
WASHINGTON (December 14, 2009) – The North American Securities Administrators Association (NASAA) today applauded the House of Representatives for moving forward with meaningful investor protection reforms and acknowledging the important role of state securities regulators through the passage of the Wall Street Reform and Consumer Protection Act of 2009 (H.R. 4173). This comprehensive legislation recognizes […]
December 4, 2009
State Securities Regulators Urge Congress to Resist Pressure to Weaken Investor Protections in Reform Proposals
WASHINGTON, D.C. December 4, 2009 – The North American Securities Administrators Association (NASAA) today urged Members of Congress to resist intense pressure by financial services industry interests to weaken the regulatory improvements necessary to strengthen investor protection. “While high times may have returned to Wall Street, hard times persist on Main Street. Congress must not […]
November 18, 2009
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 […]
November 12, 2009
