Search for: "North American Securities Administration Association"
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23 Sep 2010, 7:33 am
In a news release today, the North American Securities Administrators Association (NASAA) announced that NASAA President-elect David Massey will represent state securities regulators on the new Financial Stability Oversight Council (FSOC). [read post]
25 Jul 2023, 3:25 am
The SEC, the North American Securities Administrators Association (NASAA), and the Wisconsin Department of Financial Institutions (DFI) will hold a joint public roundtable today at the DFI Headquarters beginning at 10:00 a.m. [read post]
27 Sep 2010, 6:40 am
For a window into just how complicated it will be for regulators like the Securities and Exchange Commission to sort out the Dodd-Frank legislation, one need look no further than the debate raging over the regulation of stock brokers at the fall conference of state securities regulators, known as the North American Securities Administrators Association or Nasaa, which began in Baltimore on Sunday. [read post]
12 Sep 2009, 12:08 am
The incoming head of the North American Securities Administrators Association, Denise Voigt Crawford, is warning brokerage firms that more enforcement actions over Wall Street fraud are likely to follow. [read post]
27 Apr 2012, 1:33 pm
The North American Securities Administrators Association (NASAA) has urged FINRA to expand the scope of information provided on BrokerCheck, FINRA's online tool to help investors check the professional background of securities firms and brokers. [read post]
24 Apr 2008, 3:42 pm
The North American Securities Administrators Association announced that a number of its members are continuing to probe complaints about auction-rate securities (ARS). [read post]
19 Mar 2012, 2:00 am
In fact, the North American Securities Administrators Association has issued this alert to seniors about the dangers associated with a “free lunch”. [read post]
10 Oct 2017, 12:23 pm
Recently, the North American Securities Administrators Association (“NASAA”) released a timely survey entitled ‘Seniors & Financial Exploitation’ (the “Survey”). [read post]
2 May 2012, 6:22 am
The North American Securities Administrators Association (NASAA) will be holding its annual public policy conference on May 7, 2012 in Washington DC. [read post]
10 Jul 2012, 8:16 am
Thanks to Kyle Hulten for the heads up that the North American Securities Administrators Association (NASAA) now has a comment letter into the SEC on rulemaking under the JOBS Act. [read post]
5 Jun 2023, 4:01 pm
In a year that saw in the downfall FTX the most spectacular company collapse since the 2008 market crash, regulators had already been kept busier than usual with enforcement actions.Both the Securities and Exchange Commission, which oversees Wall Street, and the North American Securities Administrators Association, which represents state and provincial regulators in [...] [read post]
12 Apr 2012, 7:32 am
The North American Securities Administrators Association (NASAA), an organization comprised of the 50 state securities regulators, believes that the crowd funding provisions of the so-called JOBS Act are just another “Regulation D-like rip-off,” according to InvestmentNews (“Crowd funding draws scorn from NASAA,” by Mark Schoff Jr.). [read post]
28 Jun 2011, 9:41 am
They are mutual fund-like baskets of securities that trade like stocks, but have hidden risks that could harm investors, the North American Securities Administrators Association (NASAA) cautioned recently, according to Matt Krantz’s USA Today article entitled “Exotic ETFs can burn the unwary. [read post]
2 Jul 2020, 2:22 pm
State Regulators Propose Restitution for Victims of Securities Fraud According to the North American Securities Administrators Association (NASAA), the organization announced today that its Board of Directors has approved the release for public comment of a proposed model act to assist states in creating a restitution assistance fund for victims of securities law violations. [read post]
4 Jul 2010, 10:31 am
The North American Securities Administrators Association (NASAA) has now announced the opening of registration for its 93rd Annual Conference, which will be held at the Marriott Waterfront Hotel in Baltimore, Maryland from September 26 through 28. [read post]
29 Nov 2011, 8:00 am
The North American Securities Administrators Association (NASAA) announced today that state securities regulators have developed a coordinated review program for investment advisers switching from federal to state registration as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.According to NASAA's news release this morning, the Investment Adviser Coordinated Review Program is open to SEC-registered investment… [read post]
29 Aug 2018, 7:33 am
” On August 28, 2018, the North American Securities Administrators Association (“NASAA”) published a press release with an update on the progress of this initiative. [read post]
15 Apr 2011, 1:03 pm
According to a recent letter addressed to the North American Securities Administrators Association (NASAA) from Robert Plaze, associate director for regulation of the SEC's division of investment management, a switch in regulators for advisers who manage between $25 million and $100 million in assets that was supposed to start occurring this summer may now be extended to the first quarter of 2012. [read post]
21 Apr 2015, 5:58 am
It is my honor to deliver the opening remarks for today’s [April 14, 2015] North American Securities Administrators Association (“NASAA”) and Securities and Exchange Commission (“SEC”) 19(d) Conference. [read post]
3 Aug 2011, 8:02 am
The North American Securities Administrators Association (NASAA) has urged the SEC to resist calls from the securities industry to water down proposed rule amendments that would disqualify certain felons and other “bad actors from offering securities exempt from securities registration under Rule 506 of Regulation D. [read post]
