The North American Securities Administrators Association said that several of its members have been conducting investigations involving auction-rate securities and are coordinating their efforts to help investors who cannot access funds that their brokers placed in these products.Karen Tyler, NASAA president and North Dakota Securities Commissioner said state securities regulators have been responding to auction-rate […]
The North American Securities Administrators Association announced that its membership has approved a new model rule prohibiting the misleading use of senior and retiree designations.The model rule prohibits the misleading use of senior and retiree designations while also providing a means by which a securities administrator may recognize the use of certain designations conferred by […]
SICA study surveyed customers on arbitration panel experiences
The North American Securities Administrators Association announced its legislative priorities for the year ahead.NASAA President and North Dakota Securities Commissioner Karen Tyler said its’ 11-point agenda supports the efforts of NASAA members to advance investor protection and promote an efficient and effective regulatory environment necessary to maintain investor confidence in the capital markets. “NASAA’s legislative […]
Investors nearing retirement are particularly at risk of being targeted by investment schemes promising high returns
Says Stoneridge case closes door on private remedies
Securities regulators are concerned that holiday goodwill could lead to dangerous investing
The North American Securities Administrators Association is soliciting comment on a proposed model rule concerning the use of senior-specific certifications and professional designations. The proposed rule prohibits the misleading use by any person of senior and retiree designations, and it provides a means by which an administrator may recognize the use of certain designations which […]
Securities regulators update best practices to help advisors strengthen compliance procedures
Tyler named president; Joseph to serve as president-elect