Search Results for: fraud

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 Investor Bulletin: Technology and Digital Finance: World Investor Week 2024

Oct. 7, 2024 The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s (CFTC’s) Office of…

NASAA Updates COVID-19 Enforcement Task Force Actions

WASHINGTON, D.C. (June 16, 2020) – The North American Securities Administrators Association (NASAA) today updated the status of the work…

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…

Sandwich Generation: Your Parents

Investor Self-Defense As a member of SandGEN, one of your responsibilities may be to protect your elderly family members and…

Sandwich Generation: Additional Resources

State and Provincial Securities Regulators To contact your state or provincial securities regulator, click here. AARP Nonprofit, nonpartisan membership organization for…

NASAA Preemption Resource Center

The state-federal system of regulation within the United States is collaborative and complementary. Congress in 2004 recognized that state securities regulators…

The JOBS Act at a Year and a Half: Assessing Progress and Unmet Opportunities

Testimony of Rick Fleming Deputy General Counsel North American Securities Administrators Association, Inc. Before the Senate Committee on Banking, Housing…

The SEC’s Potential Role in Addressing Elder Financial Abuse Issues

Written Statement of Kristen StandiferLicensing and Examinations Supervisor for the Washington State Department of Financial Institutions and Chair of the…