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The Role of State Securities Regulators in Protecting Investors, Enforcement Overview

June 2, 2004 – Written testimony of Alabama Securities Commissioner Joseph P. Borg, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, regarding the role of state securities regulators in protecting investors.

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State Securities Cops: Senior Investors Facing a Perfect Storm for Investment Fraud

State Regulators Announce Initiatives to Help Seniors Weather Dangerous Times WASHINGTON (September 4, 2003)– Volatile stock markets, record low interest rates, rising health care costs, and increasing life expectancy, have combined to create a perfect storm for investment fraud against senior investors, state securities regulators warned today. The North American Securities Administrators Association (NASAA), which […]

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Wall Street Analyst Conflicts of Interest Global Settlement

May 7, 2003 – Testimony of Christine A. Bruenn
NASAA President and Maine Securities Administrator
Before the Committee on Banking, Housing and Urban Affairs United States Senate

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Securities Regulators Unveil Fraud Awareness Quiz

Washington (April 30, 2003)  — Are you at risk of becoming a victim of financial fraud? A simple quiz released today by Canadian and U.S. state securities regulators will help answer that question, while testing – and increasing – the financial knowledge of North Americans. The North American Securities Administrators Association (NASAA) and the Canadian […]

2003 Headlines, Newsroom Read more

NASAA unveils legislative agenda that "puts investors first"

Investors need more information, education, protection: state regulators WASHINGTON (December 23, 2002)– Investors need more information, more education and more protection, say state securities regulators, who today laid out their legislative agenda for 2003 and the 108th Congress. “These are trying times for investors,” said Christine Bruenn, president of the North American Securities Administrators Association […]

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NASAA unveils legislative agenda that “puts investors first”

Investors need more information, education, protection: state regulators WASHINGTON (December 23, 2002)– Investors need more information, more education and more protection, say state securities regulators, who today laid out their legislative agenda for 2003 and the 108th Congress. “These are trying times for investors,” said Christine Bruenn, president of the North American Securities Administrators Association […]

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Penalties for White Collar Offenses: Are We Really Getting Tough on Crime?

June 19, 2002 – Testimony of Bradley W. Skolnik
Indiana Securities Commissioner
Chairman, Enforcement Section
Before the Crime and Drugs Subcommittee Senate Judiciary Committee

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Wall Street to Congress: Shut down states` analyst probe

NASAA President Borg calls attempt “shameful and cynical;” asks “What does the industry have to hide?” WASHINGTON (June 17, 2002)- In a brazen attempt to undermine investor protection, the securities industry is trying to amend a bill scheduled for mark-up Tuesday by the Senate Banking Committee with language that would end a probe by state […]

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Protecting Consumers: What Can Congress Do To Help Financial Regulators?

March 6, 2001 – Written Statement of the North American Securities Administrators Association
To Be Included in the Hearing Record of The Subcommittee on Oversight and Investigations and the Subcommittee on Financial Institutions and Consumer Credit Hearing,
Committee on Financial Services

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Organized Crime on Wall Street

September 13, 2000 – Testimony of Bradley W. Skolnik
Indiana Securities Commissioner and NASAA President
Before the House Commerce Committee Subcommittee on Finance and Hazardous Materials, U.S. House of Representatives

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