Newsroom
February 22, 2010
Planning Your Retirement with Confidence
February 22, 2010 - In recognition of America Saves Week, NASAA is launching a new investor education program designed to bring retirement planning assistance to the workplace.
February 3, 2010
Consumer and Investor Advocates Urge Congress to Resist Industry Efforts to Weaken Investor Protection
February 3, 2010 - Investors, including seniors, would be harmed if securities and insurance industry opposition to a fiduciary duty for investment advice prevails.
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
