Search Results for: fraud

Wall Street Analyst Conflicts of Interest Global Settlement

Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Committee on Banking, Housing and Urban Affairs…

2016 Presidential Address: Minnesota Commissioner of Commerce Mike Rothman

September 13, 2016 NASAA Annual Conference Providence, Rhode Island Good afternoon. Hasn’t this been a terrific NASAA conference? Our speakers…

Rise of Fintech Raises New Concerns for Securities Regulators

Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors WASHINGTON, D.C.…

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…

Risky ‘death futures’ draw warning from state securities regulators, congressional scrutiny

Promises of ‘guaranteed returns’ fuel losses in the hundreds of millions of dollars; High commissions entice independent insurance agents to…

NASAA Investor Bulletin: Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023

Oct. 2, 2023 The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity…

Additional Resources for Seniors

NASAA members and other consumer education organizations offer excellent resources to help seniors better understand their investments. Some of these…

NASAA Reveals Top Investor Threats for 2022

State Securities Regulators Warn of Risks of Cryptocurrency and Digital Asset Fraud WASHINGTON, D.C. (January 10, 2022) – The North…

NASAA Identifies Threats to Senior Investors in Senate Testimony

State Securities Regulators Outline Initiatives to Protect Seniors from Investment Fraud WASHINGTON, D.C. (March 29, 2006) -- The North American Securities…