Search for: "North American Securities Administration Association"
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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]
19 Sep 2011, 6:59 am
In a recent news release, the North American Securities Administrators Association (NASAA) announced that it will waive the initial set-up and annual system fees paid by investment adviser firms and investment representatives to maintain the Investment Adviser Registration Depository (IARD) system. [read post]
6 Oct 2015, 4:27 am
As recently reported in the Investment News, the North American Securities Administration Association (NASSA) reported on the results of state coordinated examinations. [read post]
8 Jul 2008, 7:42 pm
The legislation is based on the North American Securities Administrators Association model rule on the use of senior certifications and professional designations. [read post]
24 Apr 2015, 4:09 pm
On April 14, 2015, in a speech to the North American Securities Administrators Association (“NASAA”), Luis Aguilar, Commissioner to the Securities and Exchange Commission (“SEC”), stated that the SEC is looking closer at sales practices with respect complex securities. [read post]
12 Jul 2012, 11:54 am
The North American Securities Administrators Association ("NASAA") and Retirement Industry Trust Association ("RITA") are jointly presenting a free webinar for the public on July 18 at 2 p.m. [read post]
12 Dec 2006, 9:39 am
The North American Administrators Association released its 2006 enforcement action statistics today, showing an increase in the number of actions, the amount of fines, and the periods of incarcertion.NASAA reported that there were 3,635 enforcement actions, up 23 percent from the earlier period. [read post]
21 May 2018, 5:43 am
Texas Spearheads US-Canada Probe of Cryptocurrency Investments (TSSB Press Release)https://www.ssb.texas.gov/news-publications/texas-spearheads-us-canada-probe-cryptocurrency-investmentsOn the heels of the North American Securities Administrators Association (NASAA) May 1st launch of its “Operation Cryptosweep,” the Texas State Securities Board has joined over 40 U.S. state and Canadian regulators in the investigation of… [read post]
10 May 2007, 11:33 pm
Related Web Resources: Senators urge end to mandatory arbitrations, Investment News, May 8, 2007 North American Securities Administrators Association [read post]
4 Nov 2011, 2:00 am
The North American Securities Administrators Association (NASAA) describes itself as “the oldest international investor protection organization”. [read post]
14 Mar 2011, 10:31 am
The North American Securities Administrators Association (NASAA) has announced that noted political expert Norman Ornstein, Resident Scholar at the American Enterprise Institute, will deliver the keynote address at NASAA's upcoming Public Policy Conference in Washington, D.C. on March 28. [read post]
3 Nov 2022, 2:22 pm
The North American Securities Administrators Association (NASAA), a non-governmental organization that recommends securities regulations for state adoption, has published proposed rules that would limit the ability of individuals to invest in unlisted real estate investment trusts, or REITs. [read post]
24 May 2023, 5:16 pm
A newly announced Department of Health and Human Services Office of Civil Rights (“OCR”) Health Insurance Portability and Accountability Act (“HIPAA”) settlement agreement with a medical practice manager business associate highlights the need for health plans and other HIPAA covered entities ensure servers are properly secured and that that they and every third party administrator, technology, audit, accounting and other plan service provider with… [read post]
13 Sep 2011, 1:46 pm
Two Page Perry attorneys -- Bob Terry and Steve Parker -- attended forums held this week by the Investment Adviser Section of the North American Securities Administrators Association, and by the NASAA members of the Joint NASAA/FINRA CRD/IARD Steering Committee, at the NASAA Annual Conference in Wichita, Kansas. [read post]
6 Sep 2011, 6:30 am
Earlier this summer, the North American Securities Administrators Association (NASAA) expressed concern in an advisory notice that many investors may not fully understand the hidden risks associated with ETFs or how the investments actually work - until it’s too late. [read post]
Texas Adopts Application Filing and Fee Amendments for Dealer/Investment Adviser Designated Officers
15 Aug 2011, 9:42 am
A rule adopting various policy statements of the North American Securities Administrators Association (NASAA) was updated. [read post]
3 May 2013, 3:34 am
Read OnNASAA Investor Advisory: Financial Service ProvidersThe North American Securities Administrators Association ("NASAA") has posted: Investor Advisory: Financial Service Providers, which helps invest... [read post]
Texas Adopts Application Filing and Fee Amendments for Dealer/Investment Adviser Designated Officers
15 Aug 2011, 9:42 am
A rule adopting various policy statements of the North American Securities Administrators Association (NASAA) was updated. [read post]
20 Aug 2009, 12:12 pm
The North American Securities Administration Association (NASAA) has issued a report idenitifying the top 10 traps for unwary investors: Entertainment Gold Bullion and Currency Leveraged Exchange-Traded Funds (ETFs) Life Settlements Natural Resource Investments Ponzi Schemes Private Placement Offerings Real Estate Investment Schemes Short-term Commercial Property Notes Speculative Inventions and New Products Read the entire post for explanations and… [read post]
12 Nov 2014, 2:30 am
On November 12, 2014, the North American Securities Administrators Association (“NASAA”) issued a warning about emerging threats to investors in 2015 posed by: Binary OptionsStream-of-Income InvestmentsDigital Currency and Cybersecurity Risks The BrokeAndBroker.com Blog urges all its readers to consider these NASAA warnings and to disseminate the advisory to your family and friends.READ: FULL-TEXT NASAA Release has been posted by … [read post]
