NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™

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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

The Most Dangerous Piece of Mail You’ll Get All Year is For a Free Lunch

New AARP Survey Shows High Level of Concern About Impact of Financial Scams Among 55+ Population Washington, DC, November 12, 2009 – More than three-quarters of older Americans are concerned that financial scams will damage their retirement nest eggs or those of someone they know, AARP and the North American Securities Administrators Association (NASAA) said […]
November 10, 2009

NASAA Statement on Senate Financial Services Regulatory Reform Proposal

WASHINGTON (November 10, 2009) – The following is a statement from Denise Voigt Crawford, President of the North American Securities Administrators Association (NASAA) and Texas Securities Commissioner, based on a preliminary analysis of the financial services regulatory reform proposal released today by Senate Banking Committee Chairman Christopher Dodd. “The comprehensive proposals offered by Chairman Dodd […]




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