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State Securities Regulators Observe 100 Years of Investor Protection

March 10, 2011 – State securities regulators throughout the United States are observing 100 years of protecting investors. The nation’s first state securities law went into effect on March 10, 1911 in Kansas.

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2010 Presidential Speech, North Carolina Deputy Securities Administrator David Massey

September 28, 2010, NASAA Annual Conference, Baltimore, Maryland

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NASAA Identifies Top Investor Traps

August 3, 2010 – NASAA releases its annual list of traps that cautious investors should avoid when seeking to jump-start their investment portfolios.

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NASAA Identifies Top 10 Investor Traps

WASHINGTON (August 18, 2009) – With a new school year about to begin, the North American Securities Administrators Association (NASAA) reminds investors to take stock of their financial education and arm themselves with the knowledge to sidestep this year’s Top 10 Investor Traps. Fred Joseph, NASAA President and Colorado Securities Commissioner, said that investors under […]

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Shopping Smart and Avoiding Scams: Financial Literacy During the Holiday Season

December 13, 2007 – Written testimony of North Dakota Securities Commissioner, and NASAA President Karen Tyler, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, regarding protecting investors during the holiday season.

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State Securities Regulators Identify Top 10 Traps Facing Investors

WASHINGTON (May 15, 2007) – The North American Securities Administrators Association today released its annual forecast of the Top 10 Traps likely to ensnare investors. “The path to safe investing is littered with traps that are likely to catch unwary investors. It always pays to remember that any investment that sounds too good to be […]

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NASAA’s 2005 Top 10 Threats to Investors

Widmann: “If it sounds too good to be true, it usually is”  WASHINGTON (March 24, 2005) – The North American Securities Administrators Association (NASAA) today identified the most common ploys being used to cheat investors out of hundreds of millions of dollars. “Investors should keep their guard up anytime anyone offers an investment opportunity. It […]

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“Prime bank” scams on the rise, state securities regulators warn

Low interest rates, distrust of government, Internet fuel billions in losses; Bogus schemes likened to Wall Street’s “X-Files,” called “Fraud of the Century.” WASHINGTON (January 17, 2002) – With low interest rates and volatile equity markets causing Americans to rethink their investment strategies, state securities regulators warned Thursday that losses from “prime bank” scams – […]

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Seniors Face Growing Risk of Internet Investment Fraud, State Securities Regulator Tells Senate Panel

WASHINGTON—Squeezed by rising medical costs and lower returns on income-generating investments, seniors are increasingly turning to the Internet for alternative investment opportunities and are more vulnerable than ever to online investment scams, a representative of the North American Securities Administrators Association (NASAA) told a Senate committee today. “With the Internet becoming a common part of […]

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Protecting Senior Citizens Against Internet Investment Fraud

March 23, 2004 – Testimony of Tanya Solov
Illinois Securities Director and NASAA Broker-Dealer Section Chair
Before the Special Committee on Aging United States Senate

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