Download:INVESTOR ADVISORY: Financial Service Providers WASHINGTON, D.C. (April 30, 2013) – In recognition of Financial Literacy Month, the North American Securities Administrators Association (NASAA) today reminded investors of the importance of understanding the distinctions between the various types of financial professionals. “Whether you are just starting a retirement fund or need additional help with growing […]
All: Current Headlines
April 19, 2013–NASAA Supports Waters-Delaney Investment Adviser Examination Improvement Act of 2013
April 3, 2013–Speakers include Rep. Jim Himes, SEC Chair Elisse Walter and Political Observer James Thurber
April 2, 2013–In advance of a federal rule to allow advertising of high-risk and potentially fraudulent private placement offerings, NASAA has issued an advisory cautioning investors about the risks these offerings carry.
Protect Your Finances: Tips to Avoid Financial Fraud Join AARP and NASAA for a free, online interactive discussion on Tuesday, April 23, 2013, at 2 p.m. as we answer your questions about ensuring the security of your nest egg. We’ll also highlight tips to help you hang on to your hard-earned money, including: Spotting common […]
WASHINGTON, D.C. (March 19, 2013) – The lack of civil recovery options for harmed investors is weakening the confidence of investors in financial products and markets, the president of the North American Securities Administrators Association (NASAA) said in a keynote speech delivered today at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal […]
Media Advisory: NASAA News Conference The North American Securities Administrators Association (NASAA) will release its 2013 Legislative Agenda, outlining specific legislation it will seek in the 113th Congress to enable policymakers to promote investor confidence in U.S. capital markets by striking the most reasonable balance between advancing capital formation and protecting investors. With a history […]
January 24, 2013–White’s successful enforcement background should send a strong message to those who violate our nation’s securities laws that they will be stopped and punished.
December 5, 2012–Crowdfunding’s presence on the Internet has risen sharply in recent months in anticipation of rules to allow small businesses and entrepreneurs to raise investments online.