Search Results for: investor bill of rights

State Securities Regulators Install New President, Board of Directors

New NASAA President Ralph A. Lambiase pledges to focus on increasing cooperation among regulators, maintaining state authority, advancing shareholders’ rights,…

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…

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…

Washington Proposes Amendments to Mortgage Broker-Dealer Rules

March 14, 2012 - The Washington Securities Division is proposing to amend Chapter 460-33A WAC, which provides an optional method…

Notice of Request for Public Comment: Proposed Changes to Performance Fee Model Rules Under the Uniform Securities Acts of 1956 and 2002

The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for public comment the…

NASAA Requests for Public Comments

The Corporation Finance Section of the North American Securities Administrators Association (NASAA has posted notices requesting public comments on a…

NASAA Urges Congress to Reject the “Securities Fraud Act”

Borg: “Real people will suffer as a result of this misguided and irresponsible legislation.” Written Testimony WASHINGTON, D.C. (June 13,…

Speakers Announced for NASAA Public Policy Roundtable

Discussions to Focus on Corporate Governance, Enforcement Activity and the Impactof the U.S.-Mexico-Canada Trade Agreement (USMCA) on the Investment IndustryWASHINGTON,…

NASAA Offers Legislative Agenda for 116th Congress

Agenda Highlights Policy Priorities to Put Investor Interests FirstRead the full agenda here.WASHINGTON, DC, March 5, 2019 – The North…

NASAA Launches Centennial Anniversary and Announces Public Policy Roundtable

WASHINGTON, D.C. (February 27, 2019)—The North American Securities Administrators Association, the voice of state and provincial securities regulations in the…