Search Results for: fraud

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

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

Twenty-nine State Regulators Urge Congress to Preserve State Anti-Fraud Enforcement Authority in Digital Assets Market Structure Legislation

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-02, Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud.

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…

Federal Resources

To advance its agenda, NASAA engages on a nonpartisan basis with Congressional offices and other stakeholders. Learn more about NASAA’s…

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…

Investor 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…

President’s Remarks, NASAA CRD/IARD Training

Ralph Lambiase Director, Connecticut Division of Securities President, North American Securities Administrators Associaion April 30, 2004 NASAA 2004 CRD/IARD Training…