Newsroom
September 13, 2005
2005 Presidential Speech, Patricia Struck, Administrator, Wisconsin Division of Securities
September 13, 2005, NASAA Annual Conference, Minneapolis, Minnesota
September 13, 2005
NASAA Sweep Identifies Investment Adviser Problems
State Securities Regulators Also Propose Best Practices MINNEAPOLIS, MINNESOTA (September 13, 2005) – The North American Securities Administrators Association (NASAA) at its annual conference here today announced a series of recommended best practices for investment advisers to consider in order to improve their compliance practices and procedures. NASAA President Patricia D. Struck said the best […]
September 13, 2005
Incoming NASAA President Struck to Stress Respect and Collaboration
“We must share a high level of respect for investors” MINNEAPOLIS, MINNESOTA (September 13, 2005) – Patricia D. Struck, Administrator of the Wisconsin Division of Securities, today was named to a one-year term as President of the North American Securities Administrators Association (NASAA), succeeding Franklin L. Widmann, Chief of the New Jersey Bureau of Securities. […]
September 11, 2005
NASAA President Widmann’s Remarks on Hurricane Katrina
September 11, 2005, NASAA Annual Conference, Minneapolis, Minnesota
September 11, 2005
NASAA President Widmann's Remarks on Hurricane Katrina
September 11, 2005, NASAA Annual Conference, Minneapolis, Minnesota
September 2, 2005
NASAA Members Serving Investors in Wake of Hurricane Katrina
WASHINGTON (September 2, 2005) —State securities regulators in Louisiana, Mississippi, Alabama, and Florida are open and serving investors following the massive destruction caused by Hurricane Katrina, the North American Securities Administrators Association reported today. “NASAA members throughout the United States, Canada, and Mexico send our thoughts and prayers to the citizens of Louisiana, Mississippi, Alabama, and […]
September 1, 2005
NASAA Advises Investors to Beware of Hurricane-related Scams
WASHINGTON (September 1, 2005) —In the wake of widespread devastation caused by Hurricane Katrina in Louisiana, Mississippi, Alabama, and Florida, the North American Securities Administrators Association (NASAA) today warned investors to beware of opportunistic investment scams. “Bottom-feeding con artists always try to find ways to exploit tragic headlines to cash in on unsuspecting investors,” said […]
August 3, 2005
NASAA Statement on SEC Chairman Cox
WASHINGTON (August 3, 2005) —The following is a statement from North American Securities Administrators Association (NASAA) President and New Jersey Securities Bureau Chief Franklin L. Widmann on Securities and Exchange Commission Chairman Christopher Cox, who was sworn in today after receiving Senate confirmation last week. “State securities regulators and the SEC share a common mission to […]
July 28, 2005
NASAA Warns Investors to Beware of Phantom Regulators
Con Artists Posing as U.S. Regulators Go Global to Lure Investors WASHINGTON, D.C. (July 28, 2005) – Want to check out a hot stock tip before you invest? Make sure you aren’t getting bad advice from con artists posing as regulators, warns Franklin L. Widmann, Chief of the New Jersey Securities Bureau, and President of […]
July 18, 2005
