Investor Advisories
April 30, 2013
Informed Investor Advisory: Financial Service Providers
Whether you are just starting a retirement fund or need additional help with growing and managing your money, you may benefit from selecting an investment services professional. Finding a person who is knowledgeable, affordable, and trustworthy may be a challenging process.
June 27, 2012
Small Business Advisory: Crowdfunding
The Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions designed to facilitate capital formation in the United States, was signed into law in 2012. Title III of the JOBS Act (also known as the CROWDFUND Act) allows entrepreneurs to raise capital by selling interests in their businesses over the internet through a […]
May 15, 2012
Informed Investor Advisory: Crowdfunding
The Internet is a popular way for individuals and businesses to raise money. In 2012, Congress passed the JOBS Act, which directed the Securities and Exchange Commission (SEC) to formulate rules to exempt investment crowdfunding from the securities registration laws. These rules went into effect in May 2016 and eased restrictions on start-up companies that […]
February 1, 2012
NASAA Cautions Investors Not to Stumble When Interest Rates Fall Flat
February 1, 2012 - Following the Federal Reserve’s announcement that interest rates are expected to remain low until at least late 2014, NASAA today cautioned investors to beware of risky or outright fraudulent investments promising higher yield or returns.
September 28, 2011
Self-Directed IRAs and the Risk of Fraud
The SEC and NASAA warn investors of the potential risks associated with investing through self-directed Individual Retirement Accounts (self-directed IRAs).
September 19, 2011
Informed Investor Advisory: Social Networking
Social networking in the Internet age allows people to connect to one another more quickly and easily than ever before. Investment promoters increasingly are logging on to find investors ... and their money.
August 31, 2011
Top Investor Threats
The top 10 financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.
August 16, 2011
How to Check Out Your Broker or Investment Adviser
State securities regulators should be the first call for an investor before you turn over any money to a broker or investment adviser.
August 16, 2011
How to Avoid Becoming a Victim
Avoiding being hurt by a con artist is as easy as doing your homework -- before you invest.
August 16, 2011
