Search for: "North American Securities Administration Association"
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21 May 2007, 8:12 pm
The North American Securities Administrators Association released its "Top 10 Traps" likely to ensnare investors, a list that included real estate investment contracts, affinity fraud, foreign exchange trading, and Internet fraud. [read post]
12 Jul 2011, 1:49 pm
The North American Securities Administrators Association (NASAA) has now opened registration for the organization's 94th Annual Conference, to be held in Wichita, Kansas from September 11-13, 2011. [read post]
6 Nov 2012, 7:02 am
The North American Securities Administrators Association (NASAA) recently released its Enforcement Report for 2012. [read post]
21 Jun 2011, 11:25 am
The "EFD System" is 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 when that system becomes available.Rule 506--Consent to Service of Process eliminated. [read post]
20 Feb 2009, 4:00 am
NASAA Seeks Comments on Multi-State Review ProposalThe Coordinated Interpretations Project Group of the North American Securities Administrators Association (NASAA) has requested public comments on the adoption of a new Statement of Policy Regarding Multi-State Review of Requests for Interpretative Opinions and No-Action Letters.As noted by the Project Group in its release today, many state securities regulators have the authority to issue… [read post]
20 May 2015, 7:30 am
The North American Securities Administrators Association (NASAA) has developed a model rule outlining policies that investment advisers should have in place to respond to natural disasters or the death or incapacitation of an executive.The NASAA rule requires every adviser to adopt written procedures for business continuity and succession planning, and shows how firms will protect books and records, establish an alternative means of communicating with… [read post]
15 Jun 2009, 8:48 pm
President: On behalf of our nation's state securities regulators, the North American Securities Administrators Association1 applauds your effort to reverse the anti-investor preemption policies of previous administrations. [read post]
20 Aug 2020, 12:30 pm
Task Force Protects Investors From 244 Fraud Schemes relating to Covid-19 Pandemic According to a press announcement on August 19, 2020, the North American Securities Administrators Association (NASAA) announced that its COVID-19 Enforcement Task Force, consisting of state and provincial securities regulators, has initiated actions to disrupt 220 fraudulent schemes seeking to profit from the global pandemic. [read post]
16 Jul 2019, 6:34 am
Today [July 15, 2019], together with our regulatory colleagues at the North American Securities Administrators Association (NASAA), our staff issued a statement explaining the potential application of state and federal securities laws to fundraising for Opportunity Zones. [read post]
20 May 2008, 6:57 am
These rules are being promulgated to combat the abuse the North American Securities Administrators Association (NASAA) is documenting in the senior community now starting to be comprised of the first wave of Post WWII baby boomer retirees. [read post]
31 May 2018, 9:39 am
North American Securities Administrators Association (“NASAA”) members from more than 40 jurisdictions across the United States and Canada are working together in “Operation Cryptosweep,” a coordinated series of enforcement actions to crack down on fraudulent initial coin offerings (“ICOs”), cryptocurrency-related investment products and the individuals behind them. [read post]
5 May 2023, 12:22 pm
The North American Securities Administrators Association recently issued an advisory to investors regarding single stock ETFs. [read post]
9 Oct 2014, 6:15 am
Recently the North American Securities Administrators Association (NASAA) announced the formation of a new Board committee to address a wide range of challenges confronting senior investors. [read post]
23 Apr 2010, 1:28 pm
Senate Reform Bill Section 926 Hotly Contested at State LevelSection 926 of the Senate reform bill, added March 15 by Senator Dodd, has become the most hotly contested provision, to date, to affect the states, with both the state securities regulators under the North American Securities Administrators Association (NASAA) and private industry opposing it, but for different reasons.Section 926 concerns Rule 506 of federal Regulation D, currently… [read post]
1 May 2013, 2:29 am
The North American Securities Administrators Association ("NASAA") has posted: Investor Advisory: Financial Service Providers, which helps investors plow through the seemingly unending titles used by folks offering financial services. [read post]
22 Aug 2012, 7:20 pm
The North American Securities Administrators Association has issued its yearly list of financial products and practices that it believes pose among the greatest investment danger to investors. [read post]
3 Nov 2010, 6:13 pm
The American Economics Association annual meeting is Jan. 6-9, 2011, in Denver. [read post]
29 Feb 2008, 8:30 am
On January 30, 2008, the North American Securities Administrators Association Inc. [read post]
18 Jul 2019, 11:12 am
Robbins discuss the joint statement recently issued by the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) summarizing federal and state securities law considerations that may be applicable to QOFs. [read post]
19 Mar 2012, 5:26 pm
The Corporation Finance Section Committee of the North American Securities Administrators Association (NASAA) has informally solicited comments concerning the adoption of a new Statement of Policy Regarding Business Development Companies. [read post]
