Search Results for: fraud
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…EIFFE
Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program State securities regulators have joined forces with the Investor Protection Trust…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…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…NASAA Highlights Financial Education Efforts at Inaugural Meeting of National Financial Education Network
WASHINGTON, D.C. (April 17, 2007) —Tennessee Assistant Commissioner for Securities Daphne Smith, on behalf of the North American Securities Administrators…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…
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