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Company: North American Securities Administrators Association

209 results found

NASAA issues warning on phantom “regulators”

Fake regulators based in U.S. targeting overseas investors

By: James Langton
July 29, 2005 July 29, 2005
14:55

NASAA installs new president, board of directors

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

By: James Langton
October 4, 2004 October 4, 2004
14:40

NASAA sweep identifies most common advisor problems

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

By: James Langton
October 4, 2004 October 4, 2004
13:10

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