Newsroom
March 12, 2008
Speakers Announced for NASAA Public Policy Conference
Sen. Jack Reed, SEC Commissioner Christopher Cox to Address April 1 Event; Panels to Explore the Horizon of Financial Services Regulation WASHINGTON, D.C. March 12, 2008—The North American Securities Administrators Association (NASAA) today announced the line-up of speakers and panels for its 2008 Public Policy Conference, which will be held April 1 in Washington, D.C. […]
February 25, 2008
NASAA Brings Fraud Prevention Focus to America Saves Week
WASHINGTON, D.C. (February 25, 2008) – The North American Securities Administrators Association (NASAA), in observance of America Saves Week, today encouraged investors not only to save but also to protect their assets through fraud prevention. “Ben Franklin reminded us, ‘A penny saved is a penny earned.’ This week we encourage investors to take that advice […]
February 8, 2008
SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
Washington, D.C., February 8, 2008 – The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new initiative as part of securities regulators’ efforts to protect senior investors. The goal of the initiative is to identify effective practices used by financial services […]
February 6, 2008
State Securities Regulators Say New Study Clearly Shows Investors View Securities Arbitration as Biased and Unfair
NASAA Calls on FINRA, SEC to Improve the Integrity of Securities Arbitration System by Removing Mandatory Industry Representative from Arbitration Panels WASHINGTON, D.C. February 6, 2008—The North American Securities Administrators Association (NASAA) today called upon the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to take immediate action to improve the […]
January 30, 2008
NASAA Outlines Pro-Investor Legislative Priorities
WASHINGTON, D.C. (January 30, 2008)—The North American Securities Administrators Association (NASAA) today identified 11 key pro-investor legislative priorities it will advocate during the second session of the 110th Congress. “Collectively, the priorities that frame our legislative agenda reflect NASAA’s belief that every investor deserves protection,” said NASAA President and North Dakota Securities Commissioner Karen Tyler. […]
January 28, 2008
State Securities Regulators Remind Investors That Scams Often Hide Behind the Headlines
WASHINGTON, D.C. (January 28, 2008) – State securities regulators today reminded investors not to allow recent negative economic news and stock market volatility lead them into high-risk speculative investments, which may be nothing more than fraudulent schemes hiding behind today’s headlines. “Scamsters follow the news and often prey on investors’ fear to promote bogus investments […]
January 16, 2008
NASAA Responds to U.S. Supreme Court Decision in Stoneridge Case
WASHINGTON, D.C.—The North American Securities Administrators Association (NASAA) today expressed its disappointment over the U.S. Supreme Court’s 5-3 ruling against the plaintiffs in Stoneridge Investment Partners v. Scientific-Atlanta Inc., which has closed an important avenue for investors to seek redress in the courts. “The Court missed an important opportunity to make clear that all of […]
December 13, 2007
NASAA Warns Investors to Watch for Holiday Investment Fraud
State Securities Regulators Offer Tips and Resolutions for Safe Investing WASHINGTON, D.C., December 13, 2007 – The North American Securities Administrators Association today cautioned investors not to let the spirit of good tidings and giving lead them into risky investment schemes this holiday season. “Investment fraud does not take a holiday,” said Karen Tyler, NASAA […]
December 12, 2007
NASAA Urges Reforms to Securities Arbitration System
State Securities Regulators Support The Arbitration Fairness Act of 2007 WASHINGTON, D.C., December 12, 2007 – The North American Securities Administrators Association today testified in support of S. 1782, the Arbitration Fairness Act of 2007 introduced by Sen. Russ Feingold (D-WI), saying that it is “a positive step in the right direction” toward improving the […]
November 30, 2007
