Newsroom
September 14, 2009
NASAA Opens Conference with Strong Affirmation of Investor Protection Role of State and Provincial Securities Regulators
DENVER (September 14, 2009) – The North American Securities Administrators Association (NASAA) opened its annual conference here with a strong affirmation of the vital investor protection role served by state and provincial securities regulators. Massachusetts Securities Division Director and conference chairman Bryan Lantagne said the theme of the 92nd annual conference, “The STATE of Regulatory […]
September 11, 2009
NASAA Supports Congressional Efforts to Protect Senior Investors
WASHINGTON (September 11, 2009) – The North American Securities Administrators Association (NASAA) announced its strong support for two bicameral bills introduced in Congress today aimed at protecting senior investors. Sen. Herbert Kohl (D-WI), chairman of the U.S. Senate Special Committee on Aging, and Senators Robert Casey (D-PA) and Kirsten Gillibrand (D-NY) introduced the “Senior Investment […]
August 18, 2009
NASAA Identifies Top 10 Investor Traps
WASHINGTON (August 18, 2009) – With a new school year about to begin, the North American Securities Administrators Association (NASAA) reminds investors to take stock of their financial education and arm themselves with the knowledge to sidestep this year’s Top 10 Investor Traps. Fred Joseph, NASAA President and Colorado Securities Commissioner, said that investors under […]
July 22, 2009
NASAA Statement on Court Decision in Equity-Indexed Annuities Case
WASHINGTON, D.C. July 22, 2009—The following is a statement from North American Securities Administrators Association (NASAA) President and Colorado Securities Commissioner Fred Joseph on yesterday’s decision by the Court of Appeals for the District of Columbia Circuit concerning the U.S. Securities and Exchange Commission’s (SEC) rule on equity-indexed annuities. NASAA is the oldest international organization […]
July 20, 2009
State Securities Regulators Announce Settlement with TD Ameritrade in Auction Rate Securities Investigations
WASHINGTON, D.C. July 20, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle has been reached between online brokerage TD Ameritrade, Inc. and state securities regulators to return approximately $456 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market. […]
June 29, 2009
NASAA Statement on U.S. Supreme Court Decision in Cuomo v. The Clearing House Association, LLC
WASHINGTON (June 29, 2009) –The following is a statement from North American Securities Administrators Association President and Colorado Securities Commissioner Fred Joseph on the U.S. Supreme Court’s decision in Cuomo v. Clearing House. In March 2009, NASAA filed an amicus brief with the Court arguing that the rules of the Office of the Comptroller of […]
June 17, 2009
NASAA Statement on Obama Financial Regulatory Reform Proposals
WASHINGTON, D.C. (June 17, 2009) – The following is a statement by North American Securities Administrators Association (NASAA) President and Colorado Securities Commissioner Fred Joseph on the release of the Obama Administration’s comprehensive plan to restructure the system of financial services regulation in the United States to better protect American investors and consumers. NASAA is […]
June 15, 2009
NASAA, NAPSA Unite to Fight Financial Elder Abuse
State Securities Regulators & Adult Protective Services Workers Announce Partnership to Prevent Elder Abuse Washington, D.C. (June 15, 2009)––The North American Securities Administrators Association (NASAA) and the National Adult Protective Services Association (NAPSA) today announced they will join forces to protect seniors from the growing threat of elder financial abuse, which includes financial exploitation and […]
June 10, 2009
NASAA Applauds Obama Directive Affirming the Value of State Regulatory Authority
WASHINGTON, D.C. (June 10, 2009) – The North American Securities Administrators Association today commended the Obama administration for affirming the vital role that state regulators play in protecting American investors and consumers. “We sincerely appreciate your recognition that states have frequently been more aggressive than the national government in protecting the public’s interest,” NASAA President […]
June 4, 2009
