Search Results for: fraud

S. 1551: The Liability for Aiding and Abetting Securities Violations Act of 2009

Testimony of Tanya Solov Director, Illinois Securities Department Illinois Secretary of State On behalf of the North American Securities Administrators…

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…

NASAA Identifies Top Investor Traps

Crawford: “Knowledge, attention to detail and a healthy sense of skepticism are a triple threat to fight investment fraud.” WASHINGTON…

Additional Resources for Seniors

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