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November 4, 2009
NASAA Statement on the Investor Protection Act
WASHINGTON (November 4, 2009) — The following is a statement by NASAA President and Texas Securities Administrator Denise Voigt Crawford in response to the vote today by the House Financial Services Committee to report the Investor Protection Act to the House of Representatives. NASAA appreciates the Committee’s efforts to strengthen investor protection. While we continue […]
October 28, 2009
NASAA Statement on Investment Adviser Regulation
WASHINGTON, D.C. (October 28, 2009) – The following is a statement from North American Securities Administrators Association President and Texas Securities Commissioner Denise Voigt Crawford calling for Congress to increase the regulatory responsibility of state securities regulators over investment advisers. The statement comes as the House Financial Services Committee is debating financial services regulatory reform […]
October 13, 2009
NASAA Announces IARD System Fee Waiver
WASHINGTON (October 13, 2009) – The North American Securities Administrators Association (NASAA) today announced it will waive the initial set-up and annual system fees paid by investment adviser firms (IAs) and investment representatives (IARs) to maintain the Investment Adviser Registration Depository (IARD) system. Denise Voigt Crawford, NASAA President and Texas Securities Commissioner, said, “The IARD […]
October 6, 2009
NASAA President Outlines Key Elements of Meaningful Regulatory Reform in Congressional Testimony
WASHINGTON (October 6, 2009) – In testimony before the U.S. House Financial Services Committee, North American Securities Administrator Association President and Texas Securities Commissioner Denise Voigt Crawford today outlined the key elements of meaningful financial services regulatory reform. “At this critical time in the nation’s history, it’s imperative that our system of financial services regulation […]
October 5, 2009
NASAA Statement on FINRA Arbitration Pilot Program Expansion
WASHINGTON, D.C. October 5, 2009—The following is a statement by North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford regarding the expansion of the Financial Industry Regulatory Authority (FINRA) pilot program to allow certain investors making arbitration claims to choose a panel made up of three public arbitrators instead of […]
October 5, 2009
NASAA President to Urge Congress to Enact Meaningful Regulatory Reforms
WASHINGTON (October 5, 2009) – North American Securities Administrator Association President and Texas Securities Commissioner Denise Voigt Crawford is scheduled to testify Tuesday before the U.S. House Financial Services Committee in a hearing to discuss the legislative changes necessary to improve the nation’s financial services regulatory system. The hearing, “Capital Markets Regulatory Reform: Strengthening Investor […]
September 29, 2009
NASAA Outlines Best Practices For Investment Advisers
Coordinated IA Examinations Spotlight Deficiencies in Key Areas WASHINGTON, D.C. (September 29, 2009) – The North American Securities Administrators Association (NASAA) today released an updated series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures. “By identifying these deficiencies, our goal is to help investment advisers […]
September 17, 2009
NASAA to Urge Senate to Re-establish Liabillity for Aiders and Abettors of Securities Violations
WASHINGTON (September 17, 2009) –The North American Securities Administrators Association (NASAA) will testify in support of a bill to restore investors’ right to bring private actions against aiders and abettors of corporate deception and fraud. Tanya Solov, Director of the Illinois Securities Department, will testify at 2 p.m. today before the Senate Committee on the […]
September 15, 2009
Texas Securities Commissioner Denise Voigt Crawford Elected New NASAA President
DENVER (September 15, 2009) – The incoming president of the North American Securities Administrators Association (NASAA) outlined a broad policy agenda to promote and enhance the investor protection role of state and provincial securities regulators. “As a career public servant, I believe that regulation is the proper province of government. It is not a profit-driven […]
September 15, 2009
