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NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors
Washington, D.C., Aug. 13, 2010 – The Securities and Exchange Commission, Financial Industry Regulatory Authority…Legislative Agenda for the 117th Congress Principle One
PRINCIPLE 1:Congress must place the interests of investors front-and-center and prioritize measures to protect and empower retail investors.Congress must pursue…NASAA Statement on Passage of Senate Financial Reform Bill
WASHINGTON (May 21, 2010) – The following is a statement from Denise Voigt Crawford, President of the North American Securities…State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations
WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations
WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…Utah’s Division of Securities has issued three notices of proposed rules
October 18, 2010 (more…)Putting Investors First: Reviewing Proposals to Hold Executives Accountable
Written Testimony of Melanie Senter LubinBoard Member, North American Securities Administrators Associationand Maryland Commissioner of Securitiesto The U.S. House of…NASAA Model Act to Create Restitution Assistance Funds for Victims of Securities Violations
NASAA MODEL ACT TO CREATE RESTITUTION ASSISTANCE FUNDS FOR VICTIMS OF SECURITIES VIOLATIONSState securities regulators protect investors by bringing enforcement…NASAA Testimony Before the Financial Crisis Inquiry Commission
Testimony of Denise Voigt Crawford Commissioner, Texas Securities Board and President North American Securities Administrators Association, Inc. Before the United…NASAA Outlines Changes Needed to Strengthen Senate Financial Regulatory Reform Package
WASHINGTON (April 27, 2010) – North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford today…
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