Search for: "North American Securities Administration Association"
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20 Jan 2011, 1:02 pm
The "EFD System" would be the Electronic Form D system provided by the North American Securities Administrators Association (NASAA) to be used for electronic filing of Form D with the Texas Securities Commissioner. [read post]
9 Sep 2010, 1:44 pm
The text of the solicitation provision, housed within the investment adviser prohibited conduct rule, is based on language developed by the Regulatory Policy and Review Group of the North American Securities Administrators Association (NASAA).Other rules changes repeal an outdated requirement for delivering a current brochure and supplement to advisory clients; mandate electronic filing of Form ADV, Part II in 2011 for Advisers registered in Wisconsin by… [read post]
14 Dec 2010, 10:35 am
The North American Securities Administrators Association (NASAA) is seeking public comments on a proposed model rule governing the registration and reporting requirements for advisers to private funds.In its request for comments, NASAA noted that the Dodd-Frank Wall Street Reform and Consumer Protection Act has made substantial changes to the regulation of investment advisers to hedge funds and other private funds. [read post]
7 Feb 2011, 12:49 pm
Viatical Settlements are always ranked by the North American Securities Administrators Association as one of the top ten investment scams of all times. [read post]
19 Apr 2010, 1:29 pm
The North American Securities Administrators Association (NASAA) issued a statement today from its President, Denise Voigt Crawford, stating that NASAA doesn't like the changes to Reg D proposed in Senator Dodd's financial regulatory reform bill, any more than startups and small businesses do. [read post]
3 Jun 2009, 5:39 am
Which is why I simply shake my head at the comments made by the North American Securities Administrators Association (the "NASAA") regarding pre-dispute arbitration agreements.The NASAA is an organization of securities regulators - its membership consists of the securities regulators from the 50 states. [read post]
28 Dec 2017, 11:00 am
Online Tool Helps Investors with Selecting a Financial Advisor (AARP and NASAA Press Release) http://www.nasaa.org/44053/online-tool-helps-investors-selecting-financial-advisor/ AARP and the North American Securities Administrators Association ("NASAA) posted a free online tool to assist investors looking to retain a professional financial advisor. [read post]
26 Jan 2015, 8:28 am
On December 15, 2014, the North American Securities Administrators Association ("NASAA") launched an online electronic filing system to be used for issuers filling Form D, Rule 506 offerings with state securities regulators. [read post]
1 Sep 2009, 7:30 am
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have all recently warned that leveraged exchange traded funds (ETFs) are very dangerous investments and not suitable for most retail investors. [read post]
28 Mar 2012, 9:26 am
The North American Securities Administrators Association (NASAA) announced today the launch of an online resource to help investment advisers switching from federal to state securities regulatory oversight identify individual state registration requirements. [read post]
5 Jul 2009, 3:04 am
NASAA Opens Registration for Annual Conference in DenverThe North American Securities Administrators Association (NASAA) will convene its 92nd Annual Conference at the Sheraton Denver Downtown Hotel in Denver, Colorado from September 13-15, 2009. [read post]
10 Feb 2011, 1:20 am
NASAA stands for the the North American Securities Administrators Association. [read post]
18 Jan 2011, 9:22 am
The North American Securities Administrators Association (NASAA) has now opened online registration for its 2011 Public Policy Conference. [read post]
29 Oct 2008, 3:19 am
The North American Securities Administrators Association and the AARP are inviting senior investors to take part in their "Free Lunch Seminar Monitor program. [read post]
27 Aug 2012, 1:56 pm
The North American Securities Administrators Association (NASAA) released preliminary numbers this month showing that the number of enforcement cases brought by state regulators doubled during 2011. [read post]
27 Aug 2012, 1:56 pm
The North American Securities Administrators Association (NASAA) released preliminary numbers this month showing that the number of enforcement cases brought by state regulators doubled during 2011. [read post]
16 Dec 2011, 7:17 am
., advisers with assets under management of between $25 million and $100 million, that are switching from federal to state registration in 4 to 14 states including Missouri may participate in the coordinated review program of the North American Securities Administrators Association (NASAA) until the program ends on March 30, 2012 (advisers registered in 15 or more states may remain federally-registered). [read post]
11 Dec 2011, 9:28 am
As we first reported on this blog site in September, the North American Securities Administrators Association (NASAA) held a forum, through its Investment Adviser subcommittee, to discuss transition issues for Mid-Sized Advisers under the Dodd-Frank Wall Street Reform Act. [read post]
19 Jan 2010, 12:44 pm
The President of the North American Securities Administrators Association, in testimony before the Financial Crisis Inquiry Commission last week, continued to blast the SEC and FINRA for dropping the ball. [read post]
13 Jul 2011, 12:06 pm
The North American Securities Administrators Association (NASAA) has expressed support for recent proposals by the SEC concerning the rules governing performance-based compensation for investment advisers. [read post]
