Search Results for: fraud

Examining Private Market Exemptions as a Barrier to IPOs and Retail Investment

Written Testimony of Michael S. PieciakNASAA Past-President and Vermont Commissioner of Financial RegulationOn behalf of The North American Securities Administrators…

Wall Street to Congress: Shut down states` analyst probe

NASAA President Borg calls attempt "shameful and cynical;" asks "What does the industry have to hide?" WASHINGTON (June 17, 2002)-…

SEC, State Securities Regulators Announce Promissory Note Enforcement Sweep

(June 1, 2000) - The U.S. Securities and Exchange Commission (SEC) and state securities regulators today announced a joint effort…

Spurring Job Growth Through Capital Formation While Protecting Investors

Written Testimony of Jack E. Herstein President of the North American Securities Administrators Association, Inc. and Assistant Director of the…

Federal Resources

To advance its agenda, NASAA engages on a nonpartisan basis with Congressional offices and other stakeholders. Learn more about NASAA’s…

Serve Our Seniors

QUICK LINKSLearn from the best and brightest how to help protect seniors from investment fraud.Designating a trusted contact is a…

2004 Presidential Speech, New Jersey Bureau of Securities Chief Franklin Widmann

President’s Remarks Franklin L. Widmann Chief, New Jersey Bureau of Securities President, North American Securities Administrators Association October 2, 2004 NASAA…

President’s Remarks, 2001 SIA Small Firms Conference

Joseph Borg Director, Alabama Securities Commission President, North American Securities Administrators Association October 12, 2001 SIA Small Firms Conference Ft. Lauderdale, Florida…

NASAA Champions Community Resources for World Elder Abuse Awareness Day

WASHINGTON, D.C. – (June 13, 2025) – In recognition of World Elder Abuse Awareness Day on June 15, the North…

Informed Investor Advisory: Precious Metals and Coin Investments

Are you an informed investor? Precious Metals and Coin Investments Predictions around volatility in the domestic and global economy have…