NASAA Survey Shows Senior Investment Fraud Accounts for Nearly Half of all...
Unregistered Securities, Variable and Equity Indexed Annuities Most Pervasive Financial Products Involved in Senior Investment Fraud WASHINGTON (July 17, 2006)—With the first ‘Baby Boomers’ turning 60...
View ArticleState Financial Regulators Seek to Retain State Enforcement Role in Data...
WASHINGTON, D.C. (August 16, 2006) – Groups representing state financial services regulators today announced their strong support of preserving the role of states in enforcement of the law in any...
View ArticleNASAA to Host Annual Conference in San Diego September 17-19
Conference to Feature Panels, Forums on Topics of Interest to Securities Regulators and Financial Services Industry WASHINGTON (September 6, 2006) – The North American Securities Administrators...
View ArticleNASAA Examinations Identify Top BD Compliance Deficiencies
State Securities Regulators Propose Series of Best Practices SAN DIEGO, CALIFORNIA (September 18, 2006) – The North American Securities Administrators Association (NASAA) at its annual conference here...
View ArticleNASAA Installs New President, Board of Directors
Alabama’s Joseph P. Borg Named NASAA President; North Dakota’s Karen Tyler to Serve as President-Elect SAN DIEGO, CALIFORNIA (September 19, 2006) – Joseph P. Borg, Director of the Alabama Securities...
View ArticleNASAA Applauds Enactment of Legislation to Protect Military Personnel From...
The Military Financial Services Protection Act Signed Into Law WASHINGTON, D.C. (September 29, 2006) —The North American Securities Administrators Association Inc. today applauded the enactment of...
View ArticleNASAA Warns Online Investors to Beware of Hack Attacks
Investors Urged to Carefully Monitor Online Trading Accounts WASHINGTON (October 26, 2006) – The North American Securities Administrators Association today warned investors to carefully monitor their...
View ArticleSEC, NASAA Announce Continuation of IARD System Fee Waiver
WASHINGTON, D.C. (October 26, 2006) – The U.S. Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) today announced they will continue to waive...
View ArticleNASAA Statement on Consolidation of Securities Industry SROs
WASHINGTON (November 28, 2006) – The following is a statement from Joseph P. Borg, President of the North American Securities Administrators Association (NASAA) and Director of the Alabama Securities...
View ArticleState Securities Regulators Report Increases in Enforcement Actions, Money...
WASHINGTON (December 12, 2006) – State securities regulators today reported significant increases in the number of enforcement actions, money ordered returned to investors, and years of incarceration...
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