Current Headlines
May 6, 2009
NASAA Reminds Investors to Investigate Before Investing
State Securities Regulators Offer Extensive Background Information on Stockbrokers and Investment Advisers WASHINGTON, D.C. (May 6, 2009)—The Madoff Ponzi scheme and other high-profile breaches of trust by financial professionals are strong reminders of the need to check the background of financial professionals before you trust them with your money, the North American Securities Administrators Association (NASAA) […]
April 28, 2009
NASAA President to Testify Before Senate Committee Examining the Life Settlement Market
WASHINGTON, D.C. (April 28, 2009)—North American Securities Administrator Association President and Colorado Securities Commissioner Fred Joseph is scheduled to testify Wednesday before the U.S. Senate Special Committee on Aging in a hearing exploring the growing life settlement industry and its impact on seniors. The hearing, “Betting on Death in the Life Settlement Market – What’s […]
April 16, 2009
NASAA Public Policy Conference to Spotlight Panels on Financial Regulatory Restructuring and Systemic Risk Regulation
U.S. Rep. Paul Kanjorski to Deliver Keynote Address WASHINGTON (April 16, 2009) – State securities regulators will convene in Washington, D.C. this month to discuss the challenges facing the current financial services regulatory structure and outline policy proposals to strengthen regulatory safeguards for Main Street investors. The North American Securities Administrators Association (NASAA) will host […]
March 31, 2009
NASAA Launches Website to Help Auction-Rate Securities Investors Navigate Arbitration Process
WASHINGTON (March 31, 2009) – As state securities regulators continue to provide relief to auction-rate securities (ARS) investors, the North American Securities Administrators Association (NASAA) has launched a new website to guide investors seeking damages through a special arbitration process created as part of the recent settlements reached with several major Wall Street firms. To […]
March 26, 2009
NASAA President Proposes Expanded Role of State Securities Regulators in Testimony Before U.S. Senate Banking Committee
WASHINGTON (March 26, 2009) – With the nation’s financial services regulatory structure under heavy scrutiny, the North American Securities Administrators Association (NASAA) offered the U.S. Senate Committee on Banking, Housing, and Urban Affairs a series of constructive reform proposals that advance the interests of Main Street investors through enhanced state securities regulation. NASAA President and […]
March 24, 2009
NASAA President to Offer Proposals to Bolster Financial Services Regulation in Testimony Before the Senate Banking Committee
WASHINGTON (March 24, 2009) – As Congress and the Obama Administration work to transform the nation’s financial services regulatory structure, the North American Securities Administrators Association (NASAA) will offer the U.S. Senate Committee on Banking, Housing, and Urban Affairs Committee a series of constructive reform proposals that advance the interests of Main Street investors. NASAA […]
February 24, 2009
NASAA Statement on FINRA Leadership
WASHINGTON—The following is a statement from North American Securities Administrators Association (NASAA) President and Colorado Securities Commissioner Fred Joseph on the appointment today of Richard G. Ketchum to succeed Mary L. Schapiro as CEO of the Financial Industry Regulatory Authority (FINRA) effective March 16, 2009. “In today’s financial climate, investors more than ever need the […]
February 23, 2009
NASAA Focuses on Fraud Prevention During America Saves Week
Protect Wealth through Fraud Prevention WASHINGTON, D.C. — The North American Securities Administrators Association (NASAA) has joined America Saves Week to encourage investors not only to save but also to protect their assets through fraud prevention. America Saves Week partners urge consumers to take financial action by committing to save, invest and build wealth. NASAA […]
January 29, 2009
NASAA Offers Pro-Investor Legislative Agenda
Agenda Outlines How 111th Congress Can Help Protect Investors WASHINGTON, D.C. January 29, 2009 – State securities regulators today called upon Congress to take bold actions to better protect Main Street investors amid the increasing challenges of a faltering economy. The North American Securities Administrators Association (NASAA) outlined a sweeping legislative agenda for the 111th […]
December 18, 2008
