Search for: "North American Securities Administration Association"
Results 21 - 40
of 2,100
Sorted by Relevance
|
Sort by Date
4 Oct 2016, 12:20 pm
The announcement states: The Corporation Finance Section of the North American Securities Administrators Association (NASAA) is requesting public comment on a proposed Statement of Policy Regarding Use of Electronic Offering Documents and Electronic Signatures. [read post]
22 Feb 2014, 2:05 pm
The leadership of the North American Securities Administrators Association (NASAA) has sent a letter to the SEC objecting to preemption of state authority over small corporate offerings through the SEC's proposed rule regarding Regulation A+. [read post]
19 Mar 2013, 12:40 pm
The lack of civil recovery options for harmed investors is weakening the confidence of investors in financial products and markets, Heath Abshure, the president of the North American Securities Administrators Association (NASAA) said in a keynote speech delivered today at... [read post]
12 Sep 2014, 2:39 pm
The North American Securities Administrators Association (NASAA) has announced the creation of a working group to focus on improved broker-dealer fee disclosure. [read post]
30 Oct 2014, 10:37 am
The North American Securities Administrator Association has posted remarks given at NASAA’s Annual Conference on September 16, 2014 by William Beatty, NASAA President and Washington Securities Director, and Andrea Seidt, NASAA Past President and Ohio Securities Commissioner. [read post]
30 Oct 2009, 2:04 pm
The following is a statement from North American Securities Administrators Association President and Texas Securities Commissioner Denise Voigt Crawford calling for Congress to increase the regulatory responsibility of state securities regulators over investment advisers: "States have both the will and... [read post]
27 Feb 2009, 1:07 pm
Fred Joseph, President of the North American Securities Administrators Association (NASAA) and Colorado Securities Commissioner, released a statement on President Obama's announcement yesterday of the core principles that will guide his administration's efforts to reshape how the nation's financial industry... [read post]
22 Aug 2012, 4:39 am
On August 21, 2012, the North American Securities Administrators Association published a press release alerting investors to a number of scams. [read post]
16 Aug 2010, 7:55 am
The SEC, FINRA, and North American Securities Administrators Association (NASAA) today have issued a 2010 Addendum to their report of best practices for financial services firms to improve their policies and procedures for serving senior-citizen investors. [read post]
19 Mar 2024, 10:06 am
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA), the Georgia Secretary of State, the University of North Georgia, and Dalton State College to host joint public…Read the Full Press Release Have a securities law question? [read post]
6 Oct 2009, 12:08 pm
The following is a statement by North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford regarding the expansion of the Financial Industry Regulatory Authority (FINRA) pilot program to allow certain investors making arbitration claims to... [read post]
22 Nov 2013, 10:31 am
North American Securities Administrators Association President, Andrea Seidt, has issued a statement on the SEC’s Support for Fiduciary Duty for Broker-Dealers. [read post]
22 Nov 2013, 10:39 am
North American Securities Administrators Association President, Andrea Seidt, has issued a statement on the SEC Adviser Exam Funding. [read post]
5 Aug 2015, 1:52 pm
The press release states in part: The North American Securities Administrators Association (NASAA) today announced that its new Electronic Filing Depository (EFD) has been used to facilitate more than 10,000 notice filings with state securities regulators since its launch less... [read post]
10 Nov 2011, 5:10 am
According the nasaa.org, The North American Securities Administrators Association (NASAA) announced recently “that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008. [read post]
30 Oct 2014, 10:35 am
The North American Securities Administrators Association has published its fall 2014 issue of Insight. [read post]
25 Aug 2011, 1:05 pm
The North American Securities Administrators Association (NASAA) recently released its annual list of financial products and practices that threaten to trap unwary investors, many by taking advantage of investors troubled by lingering economic uncertainty and volatile stock markets. [read post]
23 Jan 2011, 6:46 am
The Securities Exchange Commission in cooperation with the North American Securities Administrators Association (NASAA) have issued warnings to investors about the risks of peer-to-peer lending via the Web. [read post]
20 Sep 2006, 2:16 am
Joseph Borg is back for a third stint as the President of the North American Securities Administrators Association. [read post]
6 May 2013, 12:28 pm
The North American Securities Administrators Association (NASAA) has addressed a letter to SEC Chair White to comment on Charles Schwab's class action waiver that it now includes in its brokerage agreements. [read post]
