News Archive for October 2007

COORDINATED EXAMINATIONS IDENTIFY INVESTMENT DEFICIENCIES
October 16, 2007
State Securities Regulators Update Best Practices to Help Advisers Strengthen Compliance Procedures WASHINGTON, D.C. - The North American Securities Administrators Association (NASAA) today released an updated series of recommended best. . . read more

SECURITIES COMMISSIONER ELECTED TO ONE-YEAR TERM AS PRESIDENT OF NASAA
October 2, 2007
Seattle, Washington – North Dakota Securities Commissioner Karen Tyler today was elected to a one-year term as President of the North American Securities Administrators Association (NASAA). NASAA is the oldest international organization devoted t. . . read more


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