Search Results for: fraud

Informed Investor Advisory: Social Networking

Are you an informed investor? Social Networking Social networking in the Internet age allows people to connect to one another more…

“Prime bank” scams on the rise, state securities regulators warn

Low interest rates, distrust of government, Internet fuel billions in losses; Bogus schemes likened to Wall Street’s “X-Files,” called “Fraud…

State securities regulators issue statement on actions announced by the SEC, U.S. Attorney for the Southern District of New York and the FBI

(June 14, 2000) - As the SEC, U.S. Attorney for the Southern District of New York and the Federal Bureau…

NASAA Testimony on HR 10 – The Financial Services Act of 1999

Testimony of Thomas E. Geyer Commissioner of Ohio Division of Securities Chair, Securities Activities of Banks Project Group Before the…

NASAA Testimony on HR 10 – The Financial Services Act of 1998

Testimony of Denise Voigt Crawford Texas Securities Commissioner President, North American Securities Administrators Association, Inc. Before the Senate Banking, Housing…

NASAA Testimony at Joint Hearing on Ways to Increase Retirement Savings

Written Statement of Denise Voigt Crawford President, North American Securities Administrators’ Association, Inc. Commissioner, Texas Securities Board Submitted to the…

Venture Exchanges and Small-Cap Companies

WRITTEN STATEMENT OF WILLIAM BEATTY PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. AND WASHINGTON SECURITIES DIVISION DIRECTOR BEFORE THE SUBCOMMITTEE…

NASAA President Andrea Seidt’s Remarks at the 2014 SIFMA Compliance and Legal Society Annual Meeting

Andrea SeidtPresident, North American Securities Administrators Association2014 SIFMA Compliance and Legal SocietyApril 1, 2014 Good morning distinguished guests and colleagues.…

Enhanced Investor Protection After the Financial Crisis

Written Testimony of David Massey NASAA President and North Carolina Deputy Securities Administrator Before the Senate Committee on Banking, Housing,…

A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

WRITTEN STATEMENT OF MIKE ROTHMAN PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION AND MINNESOTA COMMISSIONER OF COMMERCE BEFORE THE U.S. HOUSE…