Search for: "North American Securities Administration Association"
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19 Jan 2011, 12:28 pm
Massey, President of the North American Securities Administrators Association (NASAA), has issued a statement concurring with the recommendations made by the Government Accountability Office (GAO) in its report, "Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues Remain. [read post]
17 Feb 2011, 3:01 pm
The North American Securities Administrators Association (NASAA) has requested public comments regarding proposed changes to the NASAA model rules pertaining to investment adviser custody, financial requirements, recordkeeping and brochure delivery. [read post]
1 Oct 2009, 3:00 am
Denise Voight Crawford, the Commissioner of the Texas State Securities Board, was installed as the new president of NASAA (The North American Securities Administrators Association) recently. [read post]
4 Dec 2011, 4:46 pm
The North American Securities Administrators Association (NASAA) recently suggested several ways in which the Financial Industry Regulatory Authority (FINRA) could enhance investor protection by improving the disclosure by FINRA member firms in private placements of securities. [read post]
20 Nov 2008, 2:50 am
The North American Securities Administrators Association is reminding investors to ask the investment firms that sold them any now-frozen auction-rate securities about repurchase opportunities. [read post]
18 May 2022, 6:32 am
My thanks to the state securities regulators in the audience and to the North American Securities Administrators Association (NASAA) for your vital work to protect investors. [read post]
18 May 2022, 6:32 am
My thanks to the state securities regulators in the audience and to the North American Securities Administrators Association (NASAA) for your vital work to protect investors. [read post]
28 Aug 2009, 2:50 pm
The North American Securities Administrators Association (NASAA), the organization of state securities regulators, has published its annual list of top 10 investor traps to avoid. [read post]
30 Apr 2012, 10:34 am
The North American Securities Administrators Association (NASAA) has expressed disappointment at FINRA's partial amendment to a proposed rule that would require FINRA members and associated persons that offer or sell certain private placements to provide relevant disclosure to each investor prior to sale. [read post]
11 Apr 2023, 6:24 am
By Jay Fishman, J.D.California and Texas securities regulators joined the regulators of Alabama, Colorado, Delaware, New Jersey, South Dakota and the North American Securities Administrators Association, Inc. [read post]
18 Jan 2012, 2:00 am
In a column for the December issue, Alan Parness of Cadwalader, Wickersham & Taft LLP wrote about the enforcement report issued last October by the North American Securities Administrators Association (aka NASAA). [read post]
26 Mar 2012, 7:30 am
Herstein, president of the North American Securities Administrators Association and assistant director of the Nebraska Department of Banking & Finance, Bureau of Securities. [read post]
16 Sep 2009, 8:17 am
The North American Securities Administrators Association (the state securities commissioners) is pushing for authority over all investment advisors who manage less than $100 million in assets.Today they only have authority over those with less than $25 million in assets, and if this power grab is successful, it will be one giant step backwards for the securities industry and the investing public. [read post]
20 Aug 2012, 7:35 am
And the North American Securities Administrators Association (NASAA) supposes what the Commission will do at that meeting. [read post]
3 Mar 2014, 7:31 am
MoFo’s Jumpstarter on the comment letter about the Regulation A+ rule proposal by the North American Securities Administrators Association, i.e., the state securities regulators group, who wants to protect its turf and avoid federal preemption of blue sky regulation. [read post]
29 Jan 2012, 11:19 am
When testifying before the Senate Banking Committee early last month, NASAA (North American Securities Administrators Association) President Jack Herstein asserted that states, not the federal government, should be in charge of crowdfunded securities offerings. [read post]
22 Dec 2009, 1:52 pm
The investigation, coordinated by the North American Securities Administrators Association (NASAA), discovered that 60 percent of the firm’s “client associates” were registered only in their home state, or in only one additional state. [read post]
19 Apr 2011, 12:36 pm
The North American Securities Administrators Association (NASAA) today published for comment a proposed custody rule for investment advisers. [read post]
23 Dec 2011, 12:36 pm
The North American Securities Administrators Association (NASAA) has supported provisions in the proposed PCAOB Enforcement Transparency Act of 2011 (S. 1907) that would amend the Sarbanes-Oxley Act of 2002 to make disciplinary proceedings of the Public Company Accounting Oversight Board (PCAOB) open to the public. [read post]
11 Jul 2012, 5:47 am
The North American Securities Administrators Association (NASAA) has now opened registration for the organization’s 95th Annual Conference, to be held at the historic Hotel del Coronado in Coronado, California from September 9-11, 2012. [read post]
