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15 Sep 2011, 12:04 pm by Securites Lawprof
In a Sept. 12 speech at the North American Securities Administrators Association 2011 Annual Conference that addressed a wide range of issues, SEC Commissioner Elisse B. [read post]
30 Mar 2009, 7:46 am
Fred Joseph, President of the North of the American Securities Administrators Association, Inc. [read post]
18 Dec 2013, 2:14 pm by Eric C. Chaffee
On December 17, 2013, Mike Rothman, Commissioner of the Minnesota Department of Commerce, submitted a written statement on behalf of North American Securities Administrators Association (NASAA) to the Senate Judiciary Committee. [read post]
29 Oct 2012, 10:16 am by BuckleySandler
On October 23, the North American Securities Administrators Association (NASAA), a voluntary association whose membership consists of sixty-seven state, provincial, and territorial securities administrators in North America, published a report that indicates enforcement of state securities laws by U.S. state securities regulators is on the rise. [read post]
On May 21, the North American Securities Administrators Association (NASAA)—an organization comprised of 67 securities regulators within the United States (all fifty states as well as districts and territories), Canada, and Mexico—released a model cybersecurity rule package governing state-registered investment advisors’ cybersecurity and privacy practices. [read post]
On May 21, the North American Securities Administrators Association (NASAA)—an organization comprised of 67 securities regulators within the United States (all fifty states as well as districts and territories), Canada, and Mexico—released a model cybersecurity rule package governing state-registered investment advisors’ cybersecurity and privacy practices. [read post]
13 Jun 2011, 9:40 am by buslawblogger
Back in March, the North American Securities Administrators Association (NASAA) joined state regulators around the country in observing the first state securities law, in Kansas, which went into effect on March 10, 1911. [read post]
29 Oct 2007, 1:35 am
The North American Securities Administrators Association announced a series of investment adviser best practices that it is recommending after it conducted investment adviser tests that showed 2135 deficiencies in 13 compliance areas. 418 investment advisers in 43 states and provinces participated in the tests, which were overseen by NASAA's Investment Adviser Operations Project Group. [read post]
5 Jun 2019, 10:03 am by Tom Zagorsky
The North American Securities Administrators Association—also known as “NASAA”—a cooperative association consisting of the chief securities regulators for each of the 50 United States, as well as Canadian and Mexican jurisdictions, has recently voted to adopt a model information security rule. [read post]
13 Nov 2011, 12:18 pm by Doug Isenberg
The North American Securities Administrators Association, or NASAA, told the operator of a Web site which represented the “State Securities Commission” to cease operations and to shut the site down. [read post]
19 Nov 2013, 1:46 pm by Eric C. Chaffee
The North American Securities Administrators Association has posted the fall 2013 issue of its NASAA Insight newsletter. [read post]
17 Aug 2012, 8:09 am by James Hamilton
Ahead of the August 22 SEC Open Meeting, the North American Securities Administrators Association urged the Commission to follow the standard rulemaking process by publishing for comment a specific proposed rule and not adopt an interim rule implementing the JOBS Act elimination of the ban on general solicitation under Regulation D. [read post]
22 Sep 2014, 2:07 pm by Eric C. Chaffee
The North American Securities Administrators Association (NASAA) has selected Washington Securities Director William Beatty to serve a one-year term as president of the organization. [read post]
6 Nov 2012, 2:02 am by Herskovits, PLLC
The North American Securities Administrators Association (NASAA) recently released its Enforcement Report for 2012. [read post]
6 Nov 2012, 7:02 am
The North American Securities Administrators Association (NASAA) recently released its Enforcement Report for 2012. [read post]
8 Apr 2014, 1:06 pm by Eric C. Chaffee
On April 8, 2014 at the North American Securities Administrators Association Annual NASAA/SEC 19(d) Conference in Washington, D.C., Commissioner Kara M. [read post]
22 Nov 2013, 10:26 am by Eric C. Chaffee
North American Securities Administrators Association President, Andrea Seidt, has issued a statement on Regulation A+. [read post]
8 Apr 2014, 1:03 pm by Eric C. Chaffee
On April 8, 2014 at the North American Securities Administrators Association Annual NASAA/SEC 19(d) Conference in Washington, D.C., Commissioner Luis A. [read post]
2 Aug 2011, 5:11 pm by Alexander J. Davie
 Along these lines, the North American Securities Administrators Association (NASAA) recently published a model rule which complements the federal rules and addresses when an fund manager exempt from federal registration is also exempt from state registration. [read post]
18 Dec 2013, 2:58 pm by Eric C. Chaffee
Andrea Seidt, President of the North American Securities Administrators Association (NASAA) and Ohio Securities Commissioner, has issued a statement on behalf of NASAA regarding proposed amendments to Regulation A. [read post]