Newsroom
January 29, 2009
An Agenda for Change: How the 111th Congress Can Better Protect Investors
January 29, 2009, NASAA President Fred Joseph, National Press Club, Washington, DC
January 29, 2009
NASAA Offers Pro-Investor Legislative Agenda
Agenda Outlines How 111th Congress Can Help Protect Investors WASHINGTON, D.C. January 29, 2009 – State securities regulators today called upon Congress to take bold actions to better protect Main Street investors amid the increasing challenges of a faltering economy. The North American Securities Administrators Association (NASAA) outlined a sweeping legislative agenda for the 111th […]
December 18, 2008
NASAA Statement on Selection of Mary Schapiro as SEC Chairman
WASHINGTON, D.C. December 18, 2008 — The following is a statement from Fred Joseph, President of the North American Securities Administrators Association, on the selection today by President-elect Obama of Mary Schapiro to lead the U.S Securities and Exchange Commission: “The selection of Mary Schapiro to lead the SEC sends a clear signal that the […]
December 17, 2008
NASAA Statement on SEC Equity-Indexed Annuity Rule
WASHINGTON, D.C. December 17, 2008 – The following is a statement from the North American Securities Administrators Association on the vote today by the U.S. Securities and Exchange Commission (SEC) to subject equity-indexed annuities (EIAs) to regulation under the federal securities laws. NASAA’s membership consists of the securities administrators in the 50 states, the District […]
December 16, 2008
State Securities Regulators Offer Tips to Help Investors Avoid Dishonest Investment Professionals
WASHINGTON, D.C. (December 16, 2008) – The North American Securities Administrators Association (NASAA) today offered investors a series of tips to avoid dishonest investment services providers in the wake of the unfolding scandal in which scores of investors lost upward of $50 billion after a New York money management firm tumbled like a house of […]
December 11, 2008
NASAA Outlines Regulatory Reform Plan Promoting Wall Street Change for the Benefit of Main Street
WASHINGTON, D.C. December 11, 2008 — A delegation of state securities regulators today offered the incoming Obama Administration and the 111th Congress a series of principles and recommendations to ensure that efforts to reform the financial services regulatory structure provide Main Street investors with a system that is strong, comprehensive, collaborative and efficient. The members […]
December 8, 2008
Financial Services Regulatory Reform Roundtable to be Webcast
WASHINGTON, D.C., December 8, 2008—The North American Securities Administrators Association, Inc. (NASAA) today announced that its upcoming public roundtable on financial services regulatory reform will be webcast live on the Internet. The 90-minute audio-only webcast will begin at 12:30 p.m. (EST) on December 11 and also will be archived on NASAA’s website for later listening. […]
December 2, 2008
Panelists Set for Financial Services Regulatory Reform Roundtable
WASHINGTON, DC, December 2, 2008—The North American Securities Administrators Association (NASAA) will convene a public roundtable discussion next week to outline changes in the financial services regulatory structure that are necessary to promote Main Street investor protection, which state securities regulators have provided for nearly 100 years. “At this critical time in our nation’s history, […]
December 1, 2008
Prosper Marketplace Inc. Enters Settlement With State Securities Regulators Over Sales of Unregistered Securities
Online ‘Peer-to-Peer’ Lending Service Agrees to $1 Million Penalty WASHINGTON, D.C. December 1, 2008 — The North American Securities Administrators Association (NASAA) today announced that state securities regulators have reached a settlement in principle with Prosper Marketplace, Inc., an online “peer-to peer” lending service, to resolve matters relating to the sale and offer of unregistered […]
November 26, 2008
