Search Results for: fraud
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…NASAA Sees Sharp Spike in Crowdfunding Presence on the Internet
NASAA Task Force Monitoring Internet for Increased Signs of Fraud WASHINGTON (December 5, 2012) – Crowdfunding’s presence on the Internet…NASAA Statement on the Securities Fraud Deterrence and Investor Restitution Act of 2003 (H.R. 2179)
WASHINGTON (February 25, 2004) – The following is a statement by Ralph A. Lambiase, President of the North American Securities…NASAA Investor Bulletin: World Investor Week 2025
October 6, 2025 The Financial Industry Regulatory Authority (FINRA), the North American Securities Administrators Association (NASAA), the National Futures Association…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…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…Notice of Request for Public Comment: Proposed Changes to Performance Fee Model Rules Under the Uniform Securities Acts of 1956 and 2002
The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for public comment the…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…$5.15 Million Available to Investors in Securities Fraud Case
WASHINGTON, DC (January 15, 2010) - The North American Securities Administrators Association (NASAA) announced today that state securities regulators are…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…
Washington, DC 20002
