Search for: "North American Securities Administration Association"
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27 May 2010, 8:14 am
The North American Securities Administrators Association is criticizing an amendment introduced by Sen. [read post]
19 May 2015, 7:29 am
On April 14, 2015, Luis Aguilar, Commissioner to the Securities and Exchange Commission (“SEC”), gave a speech before the North American Securities Administrators Association (“NASAA”), stating that the SEC is looking closely at sales practices with respect complex securities. [read post]
2 Oct 2020, 11:02 am
To read our full comment letter to the North American Securities Administrators Association, click here. [read post]
7 Nov 2008, 2:42 pm
State regulators are fielding so many calls about Lehman's notes they're considering a task force to investigate the sales, said Rex Staples, general counsel for the North American Securities Administrators Association Inc., a group of 67 state and provincial regulators based in Washington. [read post]
8 Dec 2010, 8:03 am
The North American Securities Administrators Association (NASAA) has asked the U.S. [read post]
5 Jun 2013, 12:32 pm
The investor alert cites several examples of recent enforcement actions where such illegal activity was involved.At the state level, the North American Securities Administrators Association (as the name implies, an association in which all the securities administrators are members), recently issued a similar investor alert. [read post]
16 Apr 2013, 2:47 pm
This post is based on Commissioner Aguilar’s remarks at the North American Securities Administrators Association's Annual NASAA/SEC 19(d) Conference; the full text, including footnotes, is available here. [read post]
26 Sep 2009, 6:00 am
Denise Voigt Crawford, newly elected president of the North American Securities Administrators Association, or NASAA, helped launch a pilot program in Texas that enlists physicians and other health-care professionals in identifying and assisting seniors at risk of financial exploitation. [read post]
21 Jan 2015, 3:59 am
Here’s news from this blog by David Jenson of Stinson Leonard Street: The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”) that would exempt parties that act only as deal brokers in M&A transactions from regulation under applicable state broker-dealer laws. [read post]
4 Jun 2019, 1:46 pm
On May 19, 2019, the North American Securities Administrators Association (NASAA) adopted new state cover sheets and state effective dates page for franchise disclosure documents. [read post]
3 Jan 2011, 5:49 am
The North American Securities Administrators Association (NASAA) has urged the SEC not to spend the agency's limited resources on developing additional qualification examinations for investment adviser personnel. [read post]
10 Aug 2020, 4:00 am
As if the global pandemic was not enough to cause franchisors and their attorneys heartburn, the North American Securities Administrators Association released a commentary titled “Disclosing Financial Performance Representations in the Time of COVID-19” to add another spice to the stomach turning situation. [read post]
18 Apr 2012, 5:29 pm
This posting was written by Pete Reap, Editor of the CCH Business Franchise Guide.The Franchise and Business Opportunity Project Group of the North American Securities Administrators Association (NASAA) re-released for comment yesterday proposed changes to NASAA’s Model Franchise Exemptions. [read post]
10 Oct 2009, 12:22 pm
The North American Securities Administrators Association has updated its best practices for investment advisers. [read post]
1 Oct 2015, 9:31 am
The North American Securities Administrators Association ("NASAA") issued its biennial Investment Advisors Coordinated Examination Report, which shows a stable and somewhat improving compliance picture for state-registered Investment Advisors ("IAs") in 2015 versus the 2013 cycle. [read post]
15 Oct 2013, 8:04 am
The North American Securities Administrators Association ("NASAA") recently issued a press release titled: NASAA Expands Annual Top Investor Threat List / JOBS Act Implementation Prompts Additions of Threats to Small Business Owners (October 15, 2013). [read post]
14 Feb 2013, 11:00 am
The North American Securities Administrators Association is exceedingly active, coordinating many broker-dealer examinations by a variety of state regulators. [read post]
13 Oct 2017, 8:16 am
According to the North American Securities Administrators Association’s (NASAA) Seniors & Financial Exploitation survey published August 2017, while more seniors are aware of the risk of investment fraud, fraud schemes appear to be on the rise, and the vast majority of senior investment fraud schemes still go undetected until it is too late. [read post]
28 Jan 2012, 6:30 am
"NASAA" stands for the North American Securities Administrators Association, an organization of state and provincial securities regulators. [read post]
6 Oct 2015, 1:30 pm
Parker MacIntyre attorneys Steve Parker and Bryan Gort attended the 2015 annual conference of the North American Securities Administrators Association (NASAA) held last week in San Juan, Puerto Rico. [read post]
