Deutsche Bank / Morgan Stanley / Financial Industry Regulatory Authority / Citigroup / Securities Investor Protection Corporation / UBS Financial Services / NASAA Annual Conference NASAA / Investor Deserves Protection North American Securities Administrators Association Inc. / JP Morgan / New NASAA / Goldman Sachs / Merrill Lynch / North American Securities Administrators Association Inc. / Wachovia / Credit Suisse / North Dakota Securities / California Corporations / Texas Securities / Designations California / /
Continent
North America / /
Country
Puerto Rico / Canada / Mexico / U.S. Virgin Islands / /
Currency
USD / /
Event
M&A / Employment Change / Judicial Event / /
Facility
University of Cincinnati / College of Law / / /
Holiday
Commonwealth Day / /
IndustryTerm
provincial law / insurance laws / insurance products / finance / oil and gas scheme / financial services / investment products / regulatory tools / responsible and aggressive regulatory solution / insurance industry claims / potential solutions / state insurance commissioners / federal securities law / /
Organization
NASAA’s Corporate Office / Senate Committee / Pace University School of Law / Consumer Federation of America / U.S. House Committee on Financial Services / U.S. Securities and Exchange Commission / FINRA / Senate / Task Force / U.S. Senate Banking Committee / Securities and Exchange Commission / Special Committee on Aging / Services Committee / Department of the Treasury / Congress / University of Cincinnati / U.S. Court of Appeals / UN Court / Colorado Division of Securities / U.S. Senate NASAA / Auction Rate Task Force / NASD / College of Law / NASAA Task Force / /
Person
David Massey / Barney Frank / Joe Borg / Peter Wallison / Matt Neubert / Claire McCaskill / Bryan Lantagne / Herb Kohl / Cox / Tanya Solov / Norman Ornstein / Michael Stevenson / Patty Struck / Don Saxon / Jill Gross / Arnold Schwarzenegger / Melanie Lubin / Douglas Gansler / Jack Herstein / Blanche Lincoln / F. Paul Bland / Jr. / Barbara Roper / Jim Ropp / Fred Joseph / Preston DuFauchard / Patricia / Barbara Boxer / Susan Reserve / Denise Voigt Crawford / Jean Setzfand / Theodore G. Eppenstein / Lynn Turner / Russ Iuculano / William Galvin / Roel Campos / Bernanke / Frank Widmann / Glenda Campbell / Karen Tyler / Barbara Black / John Lynch / Bruce Kohl / Chris Biggs / / /
PoliticalEvent
congressional elections / /
Position
President and Colorado Securities Commissioner / Executive Director / President / Professor of Law / broker / Glance Noted political commentator / Director of Arizona Securities / trusted investment adviser / industry arbitrator / Accountant / Secretary / financial planner / Broker-Dealer / arbitrator / Professor / Director of Investor Protection / Investment Adviser / Treasurer / Major / senior specialist / complementary Commissioner / second governor / Director of Financial Security Outreach at AARP / Director of the Massachusetts Securities Division / Obama Presidential Campaign adviser / stockbroker / Chairman Committee / strong advocate / NASAA Chief Colorado Securities / Staff Attorney / Public Justice / Director / Illinois Securities Department / Governor / Chairman / Acting Director of review / Commissioner / McCain Presidential Campaign adviser / major broker / financial adviser / chair / Director Massachusetts Securities Division / Attorney General / Senior Partner / member / Board of Directors / Colorado Securities Commissioner / hardNASAA President / /
ProgrammingLanguage
DC / /
ProvinceOrState
Nebraska / Virginia / Alabama / North Dakota / British Columbia / Washington / Missouri / New Mexico / District of Columbia / South Carolina / California / Georgia / Colorado / Alberta / Texas / Kansas / New Jersey / Wisconsin / Maryland / Illinois / Manitoba / Pennsylvania / Delaware / Florida / North Carolina / Massachusetts / New Hampshire / Washington / DC / /
NASAA Insight The Voice of State & Provincial Securities Regulation 2006 FallFall, / 2008 Inside this issue: