August 21, 2012 — NASAA releases its annual list of financial products and practices that threaten to trap unwary investors. New on the list: practices that attempt to exploit new and existing federal laws designed to promote job creation and stimulate economic recovery.
February 21, 2012 – NASAA encourages military members and their families to shore up their defenses against investment fraud during Military Saves Week.
Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight
September 13, 2011 – Written testimony of Pennsylvania Securities Commissioner Steven Irwin, delivered to the House Financial Services Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, expressing NASAA’s opposition the creation of an SRO to oversee state regulated investment advisers.
The top 10 financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.
August 23, 2011 – NASAA releases its annual list of financial products and practices that threaten to trap unwary investors, many by taking advantage of investors troubled by lingering economic uncertainty and volatile stock markets.
“Knowledge, attention to detail and a healthy sense of skepticism are a triple threat to fight investment fraud. The more you are prepared, the better your chance of sidestepping a trap that can leave you in a financial hole for many years.” NASAA President Denise Voigt Crawford Investors rebuilding nest eggs damaged by the market [...]
The Alert Investor Welcome to The Alert Investor, a series of podcasts produced by NASAA to provide investors with investor protection news and information. Knowledge is power. And nowhere is that more true than in the dynamic world of investing. But many investors today feel they lack the knowledge they need in navigating the twists [...]
Education and awareness are an investor’s first line of defense against investment fraud.
NASAA offers a variety of investor education publications, a newsletter spotlighting new investor education initiatives and a directory of the investor education websites of the state and provincial securities regulators.
Tools to empower women investors to take control of their financial futures.