Newsroom
October 15, 2007
Coordinated Examinations Identify Investment Adviser Deficiencies
State Securities Regulators Update Best Practices to Help Advisers Strengthen Compliance Procedures WASHINGTON, D.C. (October 15, 2007)– 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. “Our best practices were developed to help regulators and […]
October 2, 2007
2007 Presidential Speech, North Dakota Securities Commissioner Karen Tyler
October 2, 2007, NASAA Annual Conference, Seattle, Washington
October 2, 2007
NASAA Installs New President, Board of Directors
North Dakota Securities Commissioner Karen Tyler Named NASAA President; Colorado Securities Commissioner Fred Joseph to Serve as President-Elect SEATTLE, WASHINGTON (October 2, 2007) – North Dakota Securities Commissioner Karen Tyler today was elected to a one-year term as President of the North American Securities Administrators Association (NASAA). She succeeds Alabama Securities Commission Director Joseph P Borg. […]
September 10, 2007
2007 Seniors Summit, NASAA President Joseph Borg
September 10, 2007, Senior Summit, Washington, D.C.
September 10, 2007
“Free Lunch” Investment Seminar Examinations Uncover Widespread Problems, Perils for Older Investors
WASHINGTON, D.C. (September 10, 2007)– During a Seniors Summit held today at the Securities and Exchange Commission, securities regulators released a joint report summarizing the results of their examinations of “free lunch” investment seminars. The year-long examination was conducted by the SEC, the Financial Industry Regulatory Authority (FINRA) and state securities regulators (members of NASAA, the […]
September 10, 2007
State Securities Regulators Issue Senior Investor Alert
NASAA says retirees and those nearing retirement remain vulnerable as they manage a lifetime of savings WASHINGTON, D.C. (September 10, 2007) —The North American Securities Administrators Association (NASAA) today issued a Senior Investor Alert warning that retirees and those nearing retirement can face serious traps as they manage the savings they have accumulated throughout their working […]
September 5, 2007
NASAA Outlines Dangers Facing Senior Investors
Borg: “States have been in the vanguard developing innovative regulatory responses to fight senior investment fraud.” WASHINGTON, D.C. (September 5, 2007)—The North American Securities Administrators Association (NASAA) today told a Congressional panel that senior investors are being targeted through “free lunch” investment seminars by predators holding professional-sounding designations that can be nothing more than empty marketing […]
August 30, 2007
NASAA To Outline Efforts to Protect Seniors from Misleading ‘Free Lunch’ Investment Seminars and Professional Designations
NASAA President Joseph P. Borg to Testify Before U.S. Senate Special Committee on Aging WASHINGTON, D.C. (August 30, 2007) – North American Securities Administrators Association (NASAA) President and Alabama Securities Commission Director Joseph P. Borg will discuss ongoing efforts of state securities regulators to protect senior investors from misleading “free lunch” seminars and professional designations […]
August 14, 2007
NASAA and NAA Foundation Launch ‘FSI: Fraud Scene Investigator’
New Online Investor Education Program Teaches Students to Fight White-Collar Crime WASHINGTON, D.C. (August 14, 2007) – The North American Securities Administrators Association Inc. (NASAA) and the Newspaper Association of America (NAA) Foundation today launched FSI: Fraud Scene Investigator, an innovative online initiative to help teach students how to fight investment fraud firsthand. “FSI: Fraud […]
August 7, 2007
