Search for: "North American Securities Administration Association"
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26 Jan 2023, 2:38 pm
In order to promote uniform regulation, the administrator adopts the North American Securities Administrators Association (NASAA) Statement of Policy Regarding the Use of Franchise Questionnaires and Acknowledgments, as adopted September 18, 2022. [read post]
6 Oct 2009, 8:26 am
On September 15, 2009, Denise Voigt Crawford, the Securities Commissioner for the State of Texas, was installed as the new President of the North American Securities Administrators Association (NASAA). [read post]
4 May 2012, 6:53 am
The United States Social Security Administration (SSA) recently partnered with the Department of Defense to make access to disability benefits for wounded veterans and their family members less cumbersome. [read post]
6 Sep 2007, 5:00 pm
The North American Securities Administrators Association Inc. of Washington (NAASA) plans a vote by its members by the end of this year on a proposal which would make it a violation of state securities regulations to "misuse, mischaracterize or fraudulently represent a designation that has little or no value," said the President of NASAA, Alabama securities commissioner Joseph Borg. [read post]
27 Feb 2017, 7:00 am
The SEC and the North American Securities Administrators Association (“NASAA”), the state securities regulators, have signed a memorandum of understanding (“MOU”) to share information so as to assist each other in monitoring compliance over, among other things, the new crowdfunding rules and fraud. [read post]
29 Oct 2020, 11:46 am
The North American Securities Administrators Association (NASAA) recently released a new report aimed at "identify a baseline of broker-dealer (“BD”) and investment adviser (“IA”) firm policies, procedures, and practices involving sales to retail investors, as those policies, procedures, and practices... [read post]
10 Dec 2020, 10:36 am
Earlier this year, the North American Securities Administrators Association released a draft Model Whistleblower Act. [read post]
1 Dec 2018, 1:22 am
On Wednesday, I had the great pleasure of delivering an address at the North American Securities Administrators Association’s annual training conference for its corporate finance division. [read post]
11 Feb 2021, 5:32 pm
The language appears nearly identical to the model regulation released by the North American Securities Administrators Association (NASAA). [read post]
28 May 2020, 4:00 am
The North American Securities Administrators Association just released proposed model whistleblower legislation. [read post]
23 May 2009, 1:45 pm
Yesterday, the North American Securities Administrators Association (NASAA) announced its full support (see press release here) of the Arbitration Fairness Act of 2009, which amends the Federal Arbitration Act to bar enforcement of pre-dispute arbitration clauses in a consumer, employment, franchise and civil rights dispute. [read post]
9 Apr 2012, 1:05 pm
The North American Securities Administrators Association (NASAA), the association of state securities regulators, reportedly filed 1,241 such enforcement actions in 2010, the latest year for which data has been compiled – more than double the 506 enforcement actions filed in 2009 (“Financial Scammers Prey on Seniors,” by Anne Teresen, Wall Street Journal). [read post]
7 Nov 2011, 6:34 am
As recently reported by InvestmentNews, The Securities and Exchange Commission (“SEC”) and the North American Securities Administrators Association, Inc. [read post]
24 Aug 2018, 6:34 am
The multi-million-dollar settlement is the result of an investigation conducted by the North American Securities Administrators Association (NASAA), which is an organization of state, provincial and territorial securities regulators in the U.S., Mexico and Canada that pursues enforcement actions against brokerage firms and investment professionals suspected of engaging in securities fraud. [read post]
9 Sep 2015, 9:00 am
On September 2, 2015, the North American Securities Administrators Association (NASAA) filed an amicus brief siding with Montana and Massachusetts in a bid to overturn the SEC’s new capital-raising rule, titled Regulation A but commonly referred to as Regulation A+. [read post]
31 Mar 2009, 9:25 am
NASAA Launches ARS Arbitration Information CenterThe North American Securities Administrators Association (NASAA) announced today that it has launched a new website to assist auction rate securities (ARS) investors with the arbitration of their claims. [read post]
27 Oct 2011, 7:20 am
The annual report on enforcement actions to fight securities fraud released this month by the North American Securities Administrators Association, or NASAA, shows that actions pursued by state securities regulators increased by 51 percent in 2010 over the number of actions reported in the previous year. [read post]
20 Jan 2017, 12:18 pm
America First Foreign Policy Plan The Trump Administration is committed to a foreign policy focused on American interests and American national security. [read post]
4 Jun 2012, 1:30 pm
Commissioner Aguilar also expressed a desire to have a continuing collaborative relationship between the SEC and the North American Securities Administrators Association (NASAA). [read post]
20 Apr 2014, 6:00 am
This conference, as required by Section 19(d) of the Securities Act, is held jointly by the North American Securities Administrators Association (“NASAA”) and the U.S. [read post]
