Search for: "North American Securities Administration Association"
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22 Sep 2011, 3:22 am
In testimony before the House Capital Markets subcommittee, Arkansas Securities Commissioner Heath Abshure, speaking for the North American Securities Administrators Association said that there are significant concerns with the The Access to Capital for Job Creators Act (H.R. 2940), which would will allow general solicitation in Rule 506 offerings. [read post]
5 Dec 2022, 12:15 am
Last week, the North American Securities Administrators Association sent a letter to U.S. [read post]
10 Sep 2011, 7:20 pm
Irwin, Commissioner, Pennsylvania Securities Commission, on behalf of the North American Securities Administrators Association and Richard G. [read post]
12 Oct 2010, 3:02 pm
The North American Securities Administrators Association (NASAA) identified the top compliance deficiencies and offered a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures. [read post]
17 Jul 2008, 6:12 pm
A task force of members of the North American Securities Administrators Association is conducting investigations of various securities brokerage firms over their sales of auction rate securities. [read post]
16 Apr 2012, 6:04 pm
The North American Securities Administrators Association (NASAA) has offered support for recent efforts by FINRA to improve the valuation of unlisted direct participation plan (DPP) and real estate investment trust (REIT) offerings. [read post]
6 Feb 2019, 7:30 am
For this reason, my Administration recognized the true capital of Israel -- and proudly opened the American Embassy in Jerusalem. [read post]
18 Mar 2010, 5:00 am
A spokesperson for the North American Securities Administrators Association (NASAA) is quoted in Investment News as saying that the Association “didn’t get what it wanted” in Monday’s new version of Sen. [read post]
12 Aug 2010, 11:53 am
In a report issued today by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association ("NSAA"), the three agencies outlined the steps that financial services firms should take in order to improve their policies and procedures when working with senior investors. [read post]
7 Sep 2018, 9:11 am
Following the purchasers' appeal filing, the North American Securities Administrators Association (NASAA) submitted a joint amicus brief with the North Carolina Secretary of State urging the North Carolina Court of Appeals to: (1) consider the TIC interests to be “securities” under the North Carolina Securities Act; and (2) reverse the business court’s ruling that only plaintiffs who… [read post]
4 Jan 2011, 5:57 am
In a comment letter to the SEC, the North American Securities Administrators Association (NASAA) has opposed the designation of one or more self-regulatory organizations (SROs) for the purpose of enhancing the SEC's oversight of investment advisers. [read post]
2 May 2023, 5:26 am
By Jay Fishman, J.D.The North American Securities Administrators Association, Inc. [read post]
7 Dec 2010, 6:33 am
The North American Securities Administrators Association (NASAA) has filed a joint amicus brief with AARP in the case of Janus Capital Partners v. [read post]
24 Apr 2023, 9:30 am
Investment Fraud Scams – Threats in 2023 According to an investor alert issued by the North American Securities Administrators Association (NASSA), investment fraud scams may be as close as your email, your social media accounts, or on a telephone call. [read post]
30 Jul 2009, 3:16 pm
" Alabama has obtained felony convictions in 25 cases involving financial fraud with 20 more cases pending, according to Joseph Borg, Director of the Alabama Securities Commission and former President of the North American Securities Administrators Association (NASAA). [read post]
15 Jun 2011, 9:03 am
The North American Securities Administrators Association (NASAA) has published for public comment a revised version of the organization's proposed model rule that would exempt investment advisers to certain types of private funds from state registration. [read post]
23 May 2019, 6:52 am
The North American Securities Administrators Association, Inc. [read post]
15 Oct 2020, 11:15 am
North Carolina’s Department of Health and Human Services has responded to this problem and others by creating the Community Testing in High-Priority and Marginalized Populations (CHAMP) Initiative, which created 300 testing sites for underserved communities, covering “2.2 million African American, LatinX/Hispanic and American Indian individuals. [read post]
1 Jul 2012, 9:14 am
In the summer of 2003, malware got into and slowed controls in a power grid, causing the largest blackout in North American history leaving Ontario, Quebec, Pennsylvania, New York, and six other American States without electricity. [read post]
26 Sep 2018, 7:50 am
The North American Securities Administrators Association issued a proposed model rule update dealing with cybersecurity for investment advisers. [read post]
