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NASAA Legislative Agenda for the 116th Congress

CONTINUING A TRADITION OF INVESTOR PROTECTION Formed in 1919, NASAA is the association of state and provincial securities regulators. Our members are responsible for enforcing laws meant to protect investors and provide a regulatory framework for responsible capital formation. On a biannual basis, NASAA makes recommendations to Congress regarding ways to strengthen investor protection and […]

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Informed Investor Advisory: Promissory Notes

Promissory notes are at the heart of many different types of investment scams. Investors may mistakenly believe the written guarantee is “proof” of the deal’s legitimacy and that it offers the investor protections that other investments do not.

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“Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement”

Testimony of Joseph P. Borg, President, North American Securities Administrators Association and Director, Alabama Securities Commission, at a June 13, 2018 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment

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Informed Investor Advisory: Cryptocurrencies

Before you jump into the crypto craze, be mindful that cryptocurrencies and related financial products may be nothing more than public facing fronts for Ponzi schemes and other frauds. And because these products do not fall neatly into the existing federal/state regulatory framework, it may be easier for the promoters of these products to fleece you. Investing in cryptocurrencies and related financial products accordingly should be seen for what it is: extremely risky speculation with a high risk of loss.

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2018 NASAA Public Policy Roundtable

  May 7, 2018 Washington, DC REGISTRATION In-Person Attendance Virtual Attendance Media Speakers & Panelists NASAA Members               Hotel Information Washington Court Hotel 525 New Jersey Avenue NW Washington DC Book your room online Or call: 202-628-2100 Rate Information Reservation Code: NASAA Spring Meeting Discounted Rate: $299 + 14.5% […]

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Multimedia Resources

Welcome to NASAA’s Multimedia Library 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 and turns of the investing world. Continuing a tradition of providing information that every investor can use, NASAA is […]

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2017 Presidential Address: Joseph P. Borg, Alabama Securities Commission Director

September 26, 2017–NASAA President Joseph P. Borg’s Inaugural Address at NASAA’s 2017 Annual Conference in Seattle, Washington.

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NASAA Investor Education Outreach Programs and Speakers Bureau

Most state and provincial securities regulators have established investor education departments or divisions within their agencies. The result is an effective network of dedicated professionals delivering unbiased, relevant, and free investor education programming at the grassroots level throughout North America. These investor education professionals can be found at work in such venues as the classroom, […]

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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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