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Informed Investor Advisory: The Next Big Thing

Are you an informed investor? The Next Big Thing At first glance, marijuana, binary options, and digital currency appear to have no real connection to one another. But what they all have in common is their recent emergence as three investments that both sellers and buyers hope will become the “next big thing.”  Before you consider investing, make […]

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2015 Presidential Address: Maine Securities Administrator Judith Shaw

September 29, 2015–NASAA President Judith Shaw’s inaugural speech at NASAA’s 98th Annual Conference.

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so.me

August: What’s Trending? What’s Trending: “Mean Girls” is a dark comedy that explores the struggles many teen girls face when trying to navigate the treacherous waters of high school. A new student is thrust into the confusing world of a trendsetting clique, and she must immediately adapt or perish as unpopular. A trendsetter is someone […]

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NASAA President Andrea Seidt’s Remarks at the 2014 SIFMA Compliance and Legal Society Annual Meeting

April 1, 2014-NASAA President Andrea Seidt: “Our markets function most effectively when industry and regulators work together to protect and serve investors.”

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Laws Provide Con Artists with Personal Economic Growth Plan

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.

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NASAA Marks Military Saves Week by Taking Aim at Fraud Targeting Military Members

February 21, 2012 – NASAA encourages military members and their families to shore up their defenses against investment fraud during Military Saves Week.

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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.

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Con Artists Find Profit in Get-Rich Schemes Tied to Economic Uncertainty

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.

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Issue Spotlight    The voice of state and provincial securities regulators.  Putting investors first. Latest News NASAA Cautions Investors to Watch for Scams in Wake of Hurricane Harvey Survey Highlights Greater Need for Senior Financial Fraud Detection NASAA Study Examines BD Senior Practices, Procedures Notices NASAA Extends Exam Windows for Candidates Affected by Hurricane Harvey Investor Alerts […]

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NASAA Podcast Archive

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 […]

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