Search Results for: fraud

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…

Protecting Investors: Why the Howey Test Matters

About the Howey TestThe Howey Test is a critical safeguard for investors, ensuring that financial products—whether traditional stocks or emerging…

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 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 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…

EIFFE

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

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 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…

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…

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…