Search Results for: fraud
A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs
TESTIMONY OF MELANIE SENTER LUBIN MARYLAND SECURITIES COMMISSIONER ON BEHALF OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION BEFORE THE U.S.…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…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…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…
Washington, DC 20002
