Search Results for: fraud

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…

An Agenda for Change: How the 111th Congress Can Better Protect Investors

News Conference Opening Statement Fred Joseph Colorado Securities Commissioner President, North American Securities Administrators Association January 29, 2009 National Press…

2006 Presidential Speech, Alabama Securities Commission Director Joseph Borg

President's Remarks Joseph P. Borg Director, Alabama Securities Commission President, North American Securities Administrators Association September 19, 2006 NASAA 89th…

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.…

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…

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…