Newsroom
May 3, 1999
Online trading task force formed by state securities regulators
WASHINGTON (May 3, 1999) – State securities regulators have formed a task force to look at issues surrounding online trading such as advertising, order handling and customer suitability, the North American Securities Administrators Association (NASAA) announced today. The “Online Trading Project Group” will report to the NASAA board of directors and be chaired by Peter […]
April 29, 1999
NASAA Response to Proposals by SIA for Securities Markets Enhancement Act (SMEA)
(April 29, 1999) – Overall America’s securities markets are fair, open and transparent and have the confidence of investors. NASAA believes that this is in large part because of our 60-year old complementary regulatory regime of state, industry and federal oversight and enforcement. This three-legged regulatory stool is a major reason why the US securities […]
April 26, 1999
48 states join in national investor education push (April 26-May1)
“Financial literacy” campaign targets workers, high school students WASHINGTON (April 26, 1999)– Securities regulators in 48 states*—from Alabama to Wyoming–next week will join in a national grass-roots investor education effort to reach workers and high school students, those deemed most “at risk” in the nation’s looming financial literacy crisis. Regulators will visit dozens of high […]
March 26, 1999
Online investors cautioned, offered tips to protect themselves
State regulators urge use of “limit orders” in volatile markets WASHINGTON (March 26, 1999) – As millions of investors open online brokerage accounts and Wall Street’s computer systems strain to keep up with demand, state securities regulators today offered advice and urged caution. By one estimate 7.5 million investors have online brokerage accounts, a number […]
March 23, 1999
Investors going on line need to be “cyber savvy,” state securities regulators tell Senate panel
WASHINGTON (March 23, 1999) – Investors venturing on line to trade or get stock tips need to do their homework, be skeptical and watch out for fraud, two state securities regulators told a Senate panel today. “Legitimate business opportunities for financial services on the Internet are unlimited. At the same time, the risk of fraud […]
January 11, 1999
NASAA Winter Enforcement Conference, NASAA President Peter Hildreth
January 11, 1999, NASAA Winter Enforcement Conference, Miami, Florida
October 6, 1998
1998 Presidential Speech, New Hampshire Director of Securities Regulation Peter Hildreth
October 6, 1998, NASAA Annual Conference, Nashville, Tennessee
February 24, 1998
Investor Education News Conference, NASAA President Denise Voigt Crawford
February 24, 1998, NASAA Investor Education News Conference, Washington, D.C.
November 18, 1997
