Regulatory
October 19, 2011
State Securities Regulators Announce Settlement with E*TRADE in Auction Rate Securities Investigations
October 19, 2011 - NASAA today announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.
September 26, 2011
Request for Public Comment: Cross Reference Sheets
The NASAA Board of Directors has authorized release for public comment the following amendments to add cross reference sheets in the NASAA Guidelines for the Registration of Asset-Backed Securities, the Registration of Equipment Programs, the Registration of Commodity Pool Programs, and the Registration of Oil and Gas Programs. Comments on the proposed amendments are invited. […]
August 10, 2011
Legal Reports and Studies
Investigative Report on “Free Lunch” Seminars Report of the Task Force on the Future of Shared State and Federal Securities Regulation Functional Regulation in the 21st Century: What’s Reasonable for Investor Protection and for Agents Selling Variable Annuities? NASAA Day Trading Report & Analysis In 1999, NASAA issued an extensive report based on a seven-month […]
August 9, 2011
Dodd-Frank Information Center
September 28, 2010 - “This legislation clearly is going to restructure relationships among regulators. We have an opportunity to strengthen these relationships and to engage in productive discussions about how our shared responsibilities can better protect investors.” - David S. Massey
July 25, 2011
Proposal to Revoke NASAA Health Care Facility Offering Statement of Policy
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA), has authorized release for public comment a proposal to repeal, revoke, or otherwise make inactive, the NASAA Health Care Facility Offerings Statement of Policy. The comment period will remain open for 30 days. Comments on the proposed repeal of the Health Care Facility Offerings […]
July 13, 2011
NASAA Regulatory Reform Roundtable
The North American Securities Administrators Association (NASAA) convened a public roundtable discussion in December 2008 to outline changes in the financial services regulatory structure that are necessary to promote Main Street investor protection, which state securities regulators have provided for nearly 100 years. “At this critical time in our nation’s history, it is imperative that […]
June 30, 2011
North Carolina Issues Informational Bulletin Regarding Investment Company Notice Filing Fee Change
June 30, 2011
June 30, 2011
Proposed Model Franchise Exemptions
Notice of Request for Public and Internal Comment: Proposed Model Franchise Exemptions Download: Proposed Model Franchise Exemptions The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, of proposed Model Exemptions relating to state franchise registration and disclosure laws. The proposal includes model […]
June 13, 2011
