Investor Education
May 4, 2009
State Securities Regulators Voice Strong Support For Senior Investment Protection Act
NASAA Applauds Sen. Herb Kohl’s Leadership in the Ongoing Fight Against Senior Investment Fraud WASHINGTON, D.C., May 4, 2009—The North American Securities Administrators Association (NASAA) today announced its strong support for the “Senior Investment Protection Act of 2009” (S. 906), legislation designed to protect senior investors from unscrupulous and unqualified financial advisers. Introduced by Sen. […]
April 29, 2009
State Securities Regulators Continue to See Fraud and Abuse in the Life Settlement Market
WASHINGTON, D.C. (April 29, 2009)—State securities regulators continue to see problems of fraud and abuse in the growing life settlement industry and outlined for Congress the need for strong regulation of these financial products by appropriate regulatory authorities. “Although life settlements may serve a useful purpose by enhancing the value and liquidity of life insurance […]
October 14, 2008
AARP and NASAA Launch “Free Lunch Seminar Monitor” Program
Older Americans Increasingly Targeted By Financial Scammers WASHINGTON (October 14, 2008) – With fraud and scams on the rise, older Americans remain a primary target for unscrupulous individuals. In collaboration with the North American Securities Administrators Association (NASAA), AARP today announces the Free Lunch Seminar Monitor program, which gives individuals an opportunity to fight back […]
October 13, 2008
Oil & Gas Investment Fraud
State securities regulators around the country warn that oil and gas investment scams are alive and well. High oil prices have created a heightened interest in investments in energy-related business ventures.
October 2, 2008
California Gov. Schwarzenegger Signs Senior Investor Protection Legislation Into Law
California and Alabama Join Growing Number of States to Adopt Provisions Based on NASAA Model Rule on the Use of Senior Certifications and Professional Designations WASHINGTON, D.C. October 2, 2008—The North American Securities Administrators Association today commended California Governor Arnold Schwarzenegger for signing into law important senior investor protection legislation based on NASAA’s Model Rule […]
September 22, 2008
Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
Washington, D.C., Sept. 22, 2008 – As part of the Securities and Exchange Commission’s third annual Seniors Summit held in Washington today, the staff of the SEC along with the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) released a joint report outlining practices that financial services firms can use […]
August 11, 2008
Sandwich Generation: Additional Resources
Resources for members of the Sandwich Generation.
July 7, 2008
New Hampshire Gov. Lynch Signs Senior Investor Protection Legislation Into Law
New Hampshire Law Adopts Provisions Based on NASAA Model Rule on the Use of Senior Certifications and Professional Designations WASHINGTON, D.C. July 7, 2008—New Hampshire Governor John Lynch today signed into law HB 1274, making New Hampshire the first state to legislatively adopt provisions based on NASAA’s Model Rule on the Use of Senior Certifications […]
June 27, 2008
NASAA Voices Strong Support for Casey/Kohl Legislation to Enhance Penalties for Investment Fraud Against Seniors
WASHINGTON, D.C. June 27, 2008—State securities regulators today voiced strong support for the Senior Investor Protections Enhancement Act of 2008 introduced by U.S. Senators Robert P. Casey (D-PA) and Herbert H. Kohl (D-WI) to strengthen penalties for securities law violations involving senior victims. “State securities regulators believe that every investor deserves protection, none more so […]
April 14, 2008
