Newsroom
March 14, 2006
NASAA Listens Forum to Focus on Hedge Funds
Experts to Examine Hedge Fund ‘Retailization’ WASHINGTON (March 14, 2006) —The North American Securities Administrators Association, Inc., (NASAA) today announced plans to host a public forum to explore the ramifications of the sale of hedge funds and funds of funds to retail investors and the challenges this trend poses to regulators charged with upholding investor […]
February 28, 2006
NASAA Names Russ Iuculano as Executive Director
WASHINGTON (February 28, 2006) –The North American Securities Administrators Association (NASAA), the membership organization of state and provincial securities regulators, today named Russ Iuculano as Executive Director. “I am very excited that Russ is joining NASAA today,” said Patricia D. Struck, NASAA’s President and Wisconsin Securities Administrator. “Along with his evident enthusiasm for NASAA’s mission, […]
February 16, 2006
State Securities Regulators Release “Unlucky 13” Investor Traps
Personal Information Scams, Oil & Gas Investment Fraud, Prime Bank Schemes Seen as Greatest Potential Threats to Investors in 2006 WASHINGTON, DC (February 16, 2006) —The North American Securities Administrators Association (NASAA) today outlined a forecast of the 13 most common ways investors are likely to be trapped in 2006. “This list is anything but […]
January 12, 2006
NASAA Statement on NASD Leadership Plans
WASHINGTON (January 12, 2006) —The following is a statement from North American Securities Administrators Association (NASAA) President and Wisconsin Securities Administrator Patricia D. Struck on the election today of Mary L. Schapiro to succeed Robert R. Glauber as Chairman and CEO of the NASD effective December 2006. “NASAA sincerely appreciates Chairman Glauber’s leadership and accessibility […]
December 22, 2005
State Securities Regulators Remind Investors to Do Their Homework Before Investing in 529 College Savings Plans
WASHINGTON (December 22, 2005) —As the year draws to a close, many investors are making decisions for their long-term financial goals, including saving for college through Section 529 College Savings plans. With increasing numbers of investors turning to these plans to help finance higher education costs, state securities regulators are concerned that they may not […]
December 12, 2005
Regulators Urge Investors to Carefully Check Credentials of ‘Senior Specialists’
WASHINGTON, DC (December 12, 2005) —The North American Securities Administrators Association (NASAA) today urged seniors to carefully check the credentials of individuals holding themselves out as “senior specialists.” “Individuals may call themselves ‘senior specialists’ to create a false level of comfort among seniors by implying a certain level of training on issues important to the […]
November 22, 2005
Panelists Set For NASAA Forum on Naked Short Selling
Experts to Gather November 30 in Washington WASHINGTON (November 22, 2005) —The North American Securities Administrators Association, Inc., (NASAA) today announced participants for its upcoming “NASAA Listens” Forum to explore possible market manipulation through naked short selling activity. The forum is scheduled for November 30 from 1 p.m. to 3 p.m. at the Paris Ballroom […]
November 17, 2005
NASAA to Host Forum on Naked Short Selling
Experts to Examine Efforts to Curb Market Manipulation by Stemming Abusive Naked Short Selling Activity WASHINGTON (November 17, 2005)—The North American Securities Administrators Association, Inc. (NASAA) today announced plans to host a public forum to explore possible market manipulation through naked short selling activity. The “NASAA Listens” Forum is scheduled for November 30 from 1 p.m. […]
October 7, 2005
SEC, NASAA Announce IARD System Fee Waiver
WASHINGTON, D.C. (October 7, 2005) —The U.S. Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) today announced a one-year waiver of certain system fees paid by investment advisers and all investment adviser representatives for registration in the Investment Adviser Registration Depository (IARD) program. Separately, NASAA also announced that it is […]
October 6, 2005
