Newsroom
April 28, 2003
President’s Remarks at SEC Regarding Global Settlement
April 28, 2003, NASAA President Christine Bruenn, Securities and Exchange Commission, Washington, D.C.
April 28, 2003
President's Remarks at SEC Regarding Global Settlement
April 28, 2003, NASAA President Christine Bruenn, Securities and Exchange Commission, Washington, D.C.
March 28, 2003
War, terror fears could be exploited by con artists, securities regulators warn
WASHINGTON (March 28, 2003) — With the U.S. on the brink of war with Iraq and heightened warnings of terrorism at home, investors should not make panicky financial decisions, state securities regulators advised Tuesday. They also repeated warnings, issued in the wake of the September 11 attacks and at the height of concerns about Year […]
March 13, 2003
NYSE’s Dick Grasso to address NASAA conference
Panels will also focus on restitution, arbitration and what investors want from Washington WASHINGTON (March 13, 2003) — Dick Grasso, Chairman and CEO of the New York Stock Exchange, will be the luncheon speaker at the North American Securities Administrators Association’s (NASAA’s) 18th annual Public Policy Conference on Monday April 7th. Grasso plans to address […]
March 6, 2003
Beware of oil and gas schemes, state securities regulators warn investors
Con artists may seek to exploit fears over Mideast, oil supply WASHINGTON (March 6, 2003) – With oil prices near $40 a barrel because of supply shortages and Mideast war fears, state securities regulators anticipate an increase in oil and gas scams. Regulators in at least seven states — Kansas, Kentucky, Ohio, Oklahoma, Texas, Washington […]
February 24, 2003
NASAA Board action on investment adviser SRO idea
(February 24, 2003) – The NASAA Board of Directors earlier this month voted to recommend to the membership that NASAA rescind its 1989 vote endorsing a self-regulatory organization (SRO) for investment advisers. Following passage of the National Securities Markets Improvement Act of 1996, regulation of investment advisers was divided between the Securities and Exchange Commission […]
February 14, 2003
NASAA statement on the confirmation of William Donaldson as chairman of the Securities and Exchange Commission
February 14, 2003 – The North American Securities Administrators Association (NASAA) issued the following statement today, following the Senate confirmation of William Donaldson as the new chairman of the Securities and Exchange Commission: State securities regulators look forward to working with Chairman Donaldson on issues that affect Main Street investors. Without question, he faces one of […]
February 4, 2003
NASAA Executive Director to depart
WASHINGTON (February 4, 2003) — The North American Securities Administrators Association (NASAA) announced today that its executive director, Marc Beauchamp, will leave his position at the end of February. Beauchamp joined NASAA in January 1998 as communications director; he became executive director in March of 2000. Christine Bruenn, NASAA’s president and Maine securities administrator, said: […]
January 15, 2003
NASAA Statement on Oxley-Baker Mutual Fund Fee Initiative
(January 15, 2003) – The North American Securities Administrators Association today issued the following statement: NASAA supports Chairmen Michael Oxley and Richard Baker’s request for a study by the General Accounting Office of current trends in mutual fund fees, disclosure and transparency. When evaluating mutual funds, investors need more information as well as more understandable […]
January 6, 2003
