Search Results for: fraud

NASAA Letter in Support of the Edith Shorougian Senior Victims of Fraud Compensation Act of 2020 (S.3487)

NASSA’s Brief in Support of the State of Oregon’s Petition for Review to the Oregon Supreme Court in opposition of the Oregon Court of Appeals’ holding that Oregon’s anti-fraud law requires proof of reliance.

NASAA files amicus brief in Tellabs, Inc. v. Makor Issues & Rights, Ltd., arguing that plaintiffs in a securities fraud action should not be subjected to an overly burdensome pleading standard for scienter under the Private Securities Litigation Reform Act of 1995.

NASAA Comment Letter on President Clinton’s Consumer Fraud Initiatives Directives

NASAA amicus brief filed in the appellate court of Illinois Fourth Judicial District supporting the Illinois Securities Division by arguing that the lower court correctly found that an investment adviser violated the anti-fraud provisions of the Illinois Securities Act when he “switched” his clients equity-indexed annuities.

NASAA Principal Transaction Anti-Fraud Provisions for Investment Advisers Model Rule 102(f)-2

NASAA Comment Letter to SEC Regarding File No. S7-25-06 Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles; Securities Act Release No. 33-8766; Investment Advisers Act Release No. 2576, 72 FR 400 (Jan. 4, 2007)

The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

Written Statement of the North American Securities Administrators Association U.S. Senate Committee on Homeland Security and Governmental Affairs Subcommittee on…

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

Written Statement of the North American Securities Administrators Association To Be Included in the Hearing Record of The Subcommittee on…

NASAA Bulletin: Investor Resilience – World Investor Week 2022

Oct. 3, 2022 For World Investor Week 2022, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make…