Search Results for: fraud

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,…

The Importance of Financial Literacy and Education in America

Testimony of Denise Voigt Crawford Texas Securities Commissioner Before the Committee on Banking, Housing and Urban Affairs, United States Senate…

NASAA President Heath Abshure's Keynote Address at SIFMA Compliance and Legal Society Annual Meeting

March 19, 2013Scottsdale, Arizona Good morning, my name is Heath Abshure. I am the Arkansas Securities Commissioner, and the President…

NASAA Leads Fight Against Elder Financial Abuse

State Securities Regulators, Physicians and Adult Protective Services Workers Launch Innovative Campaign to Curb Elder Investment Fraud and Financial Exploitation…

NASAA Releases Annual Enforcement Report

For First Time, Report Shows More Actions Brought Against Registered Securities Industry Members Download: 2016 NASAA Enforcement Report Based on…

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.…

EIFFE

Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program State securities regulators have joined forces with the Investor Protection Trust…

The JOBS Act: The Importance of Prompt Implementation for Entrepreneurs, Capital Formation, and Job Creation

STATEMENT OF A. HEATH ABSHUREARKANSAS SECURITIES COMMISSIONERANDPRESIDENT OF THENORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATIONBEFORE THEHOUSE SUBCOMMITTEE ON CAPITAL MARKETS AND GOVERNMENT…

NASAA President Heath Abshure’s Keynote Address at SIFMA Compliance and Legal Society Annual Meeting

March 19, 2013Scottsdale, Arizona Good morning, my name is Heath Abshure. I am the Arkansas Securities Commissioner, and the President…

Legislative Agenda for the 117th Congress Principle One

PRINCIPLE 1:Congress must place the interests of investors front-and-center and prioritize measures to protect and empower retail investors.Congress must pursue…