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Company: North American Securities Administrators Association

199 results found

NASAA issues warning on phantom “regulators”

Fake regulators based in U.S. targeting overseas investors

NASAA installs new president, board of directors

Widmann urges industry, regulators to focus priorities to help investors regain confidence

NASAA sweep identifies most common advisor problems

Regulators propose best practices to help advisors develop compliance practices and procedures

NASAA proposes expand model exemption for TSXV listings

Comment period open for 30 days

  • By: IE Staff
  • August 20, 2004 August 20, 2004
  • 15:10

State securities regulators play important role in protecting investors

NASAA president addresses U.S. Senate Banking Committee

  • By: IE Staff
  • June 2, 2004 June 2, 2004
  • 10:25

U.S. watchdog calls for end to fund trailer-type fees

NASAA wants fees to be replaced by minimum holding periods

  • By: IE Staff
  • May 11, 2004 May 11, 2004
  • 15:55

North American securities regulators install new president

Lambiase succeeds Bruenn

  • By: IE Staff
  • September 16, 2003 September 16, 2003
  • 15:25

War fears could be exploited by con artists, regulators warn

Beware of high-pressure sales pitches

  • By: IE Staff
  • March 19, 2003 March 19, 2003
  • 09:45

NASAA executive director to step down

Beauchamp leaving at the end of February

  • By: IE Staff
  • February 5, 2003 February 5, 2003
  • 16:20