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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…

The FTC’s Franchise Rule: Twenty-Three Years After Its Promulgation

Prepared Statement of Dale E. Cantone Deputy Securities Commissioner and Chief of the Franchise and Business Opportunities Unit of the…

Informed Investor Advisory: Protecting Your Online Accounts

Are you an informed investor?Protecting Your Online AccountsAs financial technology has evolved, it has given consumers the ability to shop,…

One Broker Gone Bad: Punishing the Criminal, Making Victims Whole

Testimony of Bradley W. Skolnik Indiana Securities Commissioner Chairman, Enforcement Section Before the House Financial Services Oversight and Investigations Subcommittee,…

NASAA Outlines Pro-Investor Legislative Priorities

WASHINGTON, D.C. (January 30, 2008)—The North American Securities Administrators Association (NASAA) today identified 11 key pro-investor legislative priorities it will…

The JOBS Act at Four: Examining Its Impact and Proposals to Further Enhance Capital Formation

Written Testimony of William Beatty Washington Securities Division Director and Past-President of the North American Securities Administrators Association, Inc. House…

NASAA Testimony Regarding the Commodity Exchange Act Amendments of 1997

Written Statement of A. Duane Fry Georgia Securities and Business Regulation Division Office of the Secretary of State Chairman of…

Informed Investor Advisory: Crypto Recovery Room Scams

Are you an informed investor? Crypto Recovery Room Scams Getting calls, texts, messages or emails from someone promising to find…

Academic Leaders and Scholars Call on Congress to Keep States Essential Investor Protectors

Leading academics urge Congress to reject provisions in the Responsible Financial Innovation Act that would weaken current investor protections under…

Webinar to Help Raise Awareness of Challenges and Opportunities of Self-Directed IRA Investing

Industry, state securities regulators join forces in investor protection effort WASHINGTON, July 9, 2012 – The Retirement Industry Trust Association…