Newsroom
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
NASAA Comments on Treasury Department Financial Institution Regulatory Review
“Our existing regulatory structure, particularly as it pertains to the securities markets, needs no fundamental restructuring.” WASHINGTON, D.C. (November 30, 2007) — The North American Securities Administrators Association (NASAA) today voiced strong support for the current regulatory structure for the securities industry and cautioned against a significant overhaul in an effort to enhance the competitiveness […]
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
