All: Investor Education

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 […]

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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 […]

2008 Headlines, Investor Education, Newsroom, Senior News & Alerts Read more

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.

Investor Alerts & Tips, Investor Education, Scams & Frauds Read more

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.

Investor Alerts & Tips, Investor Education, Scams & Frauds Read more

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 […]

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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 […]

2008 Headlines, Newsroom, Senior News & Alerts Read more

Feedback Form: FSI

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Investor Education, Youth & Educators Read more

Sandwich Generation: Additional Resources

Resources for members of the Sandwich Generation.

Adults & Families, Investor Education, Retirement Planning, Seniors Read more

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 […]

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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 […]

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