Search for: "North American Securities Administration Association"
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20 Feb 2008, 10:22 pm
The Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the North American Securities Administrators Association (NASAA) have announced a new group initiative to protect senior investors from becoming the victims of investment scams. [read post]
27 May 2015, 12:02 pm
Those between $20 million and $50 million would require SEC registration only.The North American Securities Administrators Association had been touting a coordinated review initiative for Regulation A+.State regulators strongly resisted the rule, arguing it pre-empted their oversight of a portion of the market they are best situated to oversee.According to Mr. [read post]
13 Apr 2012, 11:57 am
The North American Securities Administrators Association (NASAA) has announced that Rep. [read post]
18 Nov 2020, 6:54 am
Earlier this year, the North American Securities Administrators Association (NASAA), through a working group within the Senior Issues/Diminished Capacity Committee, issued a report of findings and recommendations relating to issues of cognitive impairment or diminished capacity that may affect investment advisers and other financial professionals. [read post]
29 Aug 2010, 4:45 pm
The Financial Industry Regulatory Authority, the Securities and Exchange Commission, and the North American Securities Administrators Association have updated their 2008 report regarding financial firms’ best practices when serving elderly investors. [read post]
30 Oct 2008, 4:58 pm
The AARP and the North American Securities Administrators Association (NASAA),have teamed up to recruit monitors to attend "free lunch" investment seminars and report their findings back to the regulators. [read post]
8 Nov 2010, 5:25 pm
In a comment letter to the SEC, the North American Securities Administrators Association (NASAA) has urged the Commission to adopt an "investments owned" test for accredited investors in private offerings conducted under federal Regulation D. [read post]
2 Nov 2020, 9:17 am
On October 27, the North American Securities Administrators Association[1] held its 2020 symposium on Fintech and Cybersecurity. [read post]
29 Apr 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The North American Securities Administrators Association has developed a model rule outlining policies that investment advisers should have in place to respond to natural disasters or the death or incapacitation of an executive.The rule requires every adviser adopt written procedures for business continuity and succession planning.The plan must show how the firm will protect books and records, establish… [read post]
26 Feb 2009, 4:38 am
NASAA Opens Registration for 24th Annual Public Policy ConferenceThe North American Securities Administrators Association (NASAA) has now opened registration for its 24th Annual Public Policy Conference. [read post]
13 Sep 2011, 2:55 pm
Delivering the keynote address yesterday at the Annual Conference of the North American Securities Administrators Association (NASAA), SEC Commissioner Elisse Walter said that "swift and decisive" action is necessary if securities regulators are to enhance the effectiveness of the oversight of investment advisers. [read post]
13 Mar 2012, 1:39 pm
The North American Securities Administrators Association (NASAA) has voiced strong opposition to provisions in the Jumpstart Our Business Startups Act (JOBS Act) that would preempt state laws for crowdfunding. [read post]
14 Oct 2015, 6:22 am
NASAA (the North American Securities Administrators Association) has as of September 29th 2015, proposed a new model law that incorporates best broker-dealer and investment adviser practices for dealing with suspected financial exploitation of seniors and diminished capacity investors. [read post]
25 May 2018, 8:18 am
An effort to investigate cryptocurrency investment products continues to make headlines.The North American Securities Administrators Association (NASAA) is coordinating with US and Canadian regulators to weed out fake ICOs and other crypto scams, with as many as 70 investigations already underway.The Washington Post reports that it's the largest movement of its kind, with 50% of investigations pending or completed, and more on the way. [read post]
25 Aug 2008, 3:58 pm
Bishop both faced pressure after local newspapers analyzed records of mortgage brokers, although Florida is the only state that places the licensing of mortgage brokers directly into the hands of its securities division.Joseph Borg, the Director of Alabama's Securities Division and former president of the North American Securities Administrators Association (NASAA), said the biggest problem is resources. [read post]
25 Feb 2009, 11:42 pm
Some of the substantive changes, however, add a federal covered securities rule for 18(b)(4)(D) [Rule 506] offerings and adopt by reference for registered offerings certain policy statements of the North American Securities Administrators Association (NASAA). [read post]
10 Mar 2015, 7:39 am
The following list of top threats facing unwary investors was compiled by the Enforcement Section of the North American Securities Administrators Association (NASAA), of which the Florida Office of Financial Regulation is a member. [read post]
3 Oct 2011, 8:37 am
On Sept. 23, both the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association issued an investor alert warning about investing through self-directed IRAs. [read post]
25 Jan 2012, 12:44 pm
The Small Business Capital Formation Committee of the North American Securities Administrators Association (NASAA) has released for internal comment a proposed new NASAA Model Crowdfunding Exemption. [read post]
27 Jul 2015, 8:05 am
Michael Hayden, Principal, The Chertoff Group; Former Director, Central Intelligence Agency; Former Director, National Security Agency Matt Olsen, President and Co-Founder, IronNet Cybersecurity; Former Director, National Counterterrorism Center John Pistole, President, Anderson University; Former Administrator, Transportation Security Administration; Former Deputy Director, Federal Bureau of Investigation Fran Townsend, Executive Vice President, Worldwide… [read post]
