Current Headlines
June 25, 2008
NASAA Commends SEC for Advancing Equity Indexed Annuities Proposal
Tyler: “Shielding investors from the predatory sale of EIAs is one of the most important steps the SEC can take to advance the cause of Main Street investor protection.” WASHINGTON, D.C. June 25, 2008—The North American Securities Administrators (NASAA) today commended the U.S. Securities and Exchange Commission (SEC) for issuing a rule proposal related to […]
June 18, 2008
NASAA Forum on Securities Arbitration to be Webcast
WASHINGTON, D.C., June 19, 2008—The North American Securities Administrators Association, Inc. (NASAA) today said its upcoming public forum on securities arbitration will be webcast live on the Internet. The webcast, Arbitration is Broken: How Can it be Fixed?, will be available on the NASAA website at 12:30 p.m. (EDT) on June 24. The two-hour audio-only […]
June 17, 2008
NASAA Identifies Traps Likely to Burn Investors This Summer
WASHINGTON, D.C. June 17, 2008—As summer approaches, the North American Securities Administrators Association warns that scamsters are using every trick under the sun to separate unsuspecting investors from their hard-earned dollars. State and provincial securities regulators caution investors to screen themselves from hot energy-related tips, speculative real estate promotions, unsolicited invitations from new online “friends,” […]
June 12, 2008
Leading Arbitration Experts to Speak at NASAA Forum on Securities Arbitration
WASHINGTON, D.C. June 12, 2008—The North American Securities Administrators Association (NASAA) is bringing together leading arbitration experts for a public forum to discuss the current securities arbitration system and offer constructive steps to restore choice, fairness, and balance to the securities arbitration process. The forum, Arbitration is Broken: How Can it be Fixed?, is scheduled […]
April 29, 2008
NASAA Applauds Proposed Amendment to Require Disclosure of Allegations Against Brokers in Arbitrations and Civil Lawsuits
WASHINGTON, D.C. (April 29, 2008) – The North American Securities Administrators Association (NASAA) today said a rule amendment recently proposed by the Financial Industry Regulatory Authority (FINRA) would enhance investor protection by improving disclosure of investor allegations of sales practice violations by brokers in securities arbitration claims and civil lawsuits. “We applaud the joint efforts […]
April 14, 2008
NASAA Commends Dateline NBC for Helping Expose Questionable Equity Indexed Annuity Sales Practices to Seniors
WASHINGTON, D.C. April 14, 2008—The North American Securities Administrators Association (NASAA) today commended Dateline NBC for its April 13 program, “Tricks of the Trade,” which exposed questionable sales practices that some insurance agents use to sell equity indexed annuities that may be unsuitable investments for seniors. “Dateline’s producers and correspondent Chris Hansen are to be […]
March 25, 2008
NASAA, SIPC Offer Answers to Investors Concerned About the Safety of Their Brokerage Accounts
WASHINGTON, D.C. March 25, 2008 – In the wake of recent turbulence in the financial markets, the North American Securities Administrators Association (NASAA) today joined with the Securities Investor Protection Corporation (SIPC), which maintains a special reserve fund authorized by Congress to help investors at failed brokerage firms, to remind investors of the important and […]
February 25, 2008
NASAA Brings Fraud Prevention Focus to America Saves Week
WASHINGTON, D.C. (February 25, 2008) – The North American Securities Administrators Association (NASAA), in observance of America Saves Week, today encouraged investors not only to save but also to protect their assets through fraud prevention. “Ben Franklin reminded us, ‘A penny saved is a penny earned.’ This week we encourage investors to take that advice […]
January 30, 2008
NASAA Outlines Pro-Investor Legislative Priorities
WASHINGTON, D.C. (January 30, 2008)—The North American Securities Administrators Association (NASAA) today identified 11 key pro-investor legislative priorities it will advocate during the second session of the 110th Congress. “Collectively, the priorities that frame our legislative agenda reflect NASAA’s belief that every investor deserves protection,” said NASAA President and North Dakota Securities Commissioner Karen Tyler. […]
January 16, 2008
