Search for: "North American Securities Administration Association"
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14 Sep 2017, 12:25 pm
A notice provided on the NASAA site states: The North American Securities Administrators Association (NASAA) is cautioning investors about schemes related to binary options amid the proliferation of online binary option... [read post]
30 Sep 2011, 10:34 am
Investment fraud accounts for $40 billion in investor losses per year, according to the association of state securities regulators called the North American Securities Administrators Association (NASAA). [read post]
25 Apr 2022, 12:05 pm
The Securities and Exchange Commission will hold a virtual event on April 28 along with the North American Securities Administrators Association (NASAA) and the AARP to examine the latest challenges and issues affecting the senior investor community. [read post]
21 Jul 2023, 8:00 am
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA) and Wisconsin Department of Financial Institutions (DFI) for a Joint Public Roundtable at the DFI headquarters on…Read the Full Press Release Have a securities law question? [read post]
23 Sep 2008, 2:00 pm
On September 16, the North American Securities Administrators Association (NASAA) announced that it had reached a settlement with Credit Suisse under which Credit Suisse will buy back $550 million in Auction Rate Securities (ARS) from individuals, non-profits and small businesses with account sizes under $10 million.In addition to $15 million in fines and the $550 million repurchase, the settlement calls for Credit Suisse to reimburse money lost… [read post]
15 Jun 2021, 6:25 pm
Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new resource…Read the Full Press ReleaseHave a securities law question? [read post]
19 Dec 2007, 10:15 pm
On December 12, The North American Securities Administrators Association told the Senate Judiciary Constitution Subcommittee says that it is calling for a voluntary securities arbitration system. [read post]
30 Nov 2017, 8:09 am
Changes to the Maryland Securities Act include the creation of the Securities Act Registration Fund, adoption of the North American Securities Administrators Association’s Senior Model Act to address financial exploitation of seniors, and changes in fees for certain filing categories. [read post]
15 May 2017, 11:05 am
The North has demanded for years that the United States sign a peace treaty that would recognize the regime and guarantee its security. [read post]
16 Feb 2011, 10:49 am
NASAA, the North American Securities Administrators Association, has published its legislative agenda for 2011. [read post]
13 Mar 2009, 12:21 pm
The North American Securities Administrators Association (NASAA) has filed an amicus brief in the case of Cuomo v. [read post]
9 Jul 2012, 12:04 pm
On July 9, 2012, the North American Securities Administrators Association ("NASAA") posted the following press release on its website:Webinar to Help Raise Awareness of Challenges and Opportunities of Self-Directed IRA InvestingIndustry, state securities regulators join forces in investor protection effort... [read post]
22 Aug 2012, 2:24 pm
The North American Securities Administrators Association (NASAA), a group of state securities regulators) has identified four new types of fraud to go along with the 6 persistent fraud threats that round out their Top Ten Threats to Investors. [read post]
9 Apr 2009, 2:25 pm
Representatives of the North American Securities Administrators Association (NASAA) requested federal funds to enhance their regulation and enforcement of state securities laws in testimony before the House Financial Services Committee on March 20, 2009. [read post]
27 Feb 2017, 1:37 pm
On February 17, 2017, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) signed an agreement to facilitate information sharing with respect to rules regarding intrastate crowdfunding and regional offerings. [read post]
19 Jan 2011, 8:48 am
Matt Neubert, the current Ombudsman for the North American Securities Administrators Association, will hold his biannual meeting during the 2011 Public Policy Conference in Washington, DC on February 28. [read post]
5 Dec 2009, 2:13 pm
News, December 4, 2009 2nd UPDATE:Texas Securities Regulator:'Jury Is Still Out' On SEC Reform, Wall Street Journal, December 4, 2009 Texas State Securities Board North American Securities Administrators Association [read post]
21 Aug 2008, 1:31 pm
UBS recently agreed to buy back $18.6B in auction rate securities (ARS) and pay $150M in penalties ($75M to the State of New York, and $75M to the North American Securities Administrators Association) to settle allegations made by the New York Attorney General and the Securities and Exchange Commission that UBS fraudulently marketed the safety of ARS to customers.On July 24, 2008, the New York Attorney General filed suit against UBS for… [read post]
11 Feb 2008, 6:20 am
Last week the North American Securities Administrators Association called on FINRA and the SEC to make changes to the securities arbitration system to "improve the fairness" of securities arbitration. [read post]
2 Nov 2009, 7:43 pm
At the opening plenary session, representatives from PIABA, FINRA and NASAA (North American Securities Administrators Association) debated the relative merits of the only securities arbitration forum [...] [read post]
