Search Results for: fraud

NASAA Investor Alert: Self-Directed IRAs and the Risk of Fraud

February 7, 2023 The North American Securities Administrators Association (NASAA), the SEC’s Office of Investor Education and Advocacy, and the…

State Securities Regulators Release Top 10 Scams, Schemes & Scandals

Mutual Fund Practices, Senior Investment Fraud, Variable Annuities Join 2004 List WASHINGTON (January 14, 2004) – State securities regulators today…

The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

Testimony of Lynne Egan Montana Deputy Securities Commissioner Member, NASAA Investor Education Section Before the Subcommittee on Oversight of Government…

NASAA Urges Congress to Champion the States as Fraud Fighters as Congress Examines Fraud and New Technologies

NASAA’s Brief to the Oregon Supreme Court in Support of the State of Oregon’s Brief on the Merits in Oregon v. Marsh & McLennan Companies, Inc., arguing that the Oregon Court of Appeals erred by holding that: (1) antifraud claims under Blue Sky statutes prohibiting misrepresentations and omissions require proof of reliance; and (2) reliance cannot be presumed under the “fraud on the market” doctrine based on the general investment market’s reliance on the misstatements or omissions.

Protecting Senior Citizens Against Internet Investment Fraud

Testimony of Tanya Solov Illinois Securities Director and NASAA Broker-Dealer Section Chair Before the Special Committee on Aging United States…

State Securities Cops: Senior Investors Facing a Perfect Storm for Investment Fraud

State Regulators Announce Initiatives to Help Seniors Weather Dangerous Times WASHINGTON (September 4, 2003)– Volatile stock markets, record low interest…

NASAA Testimony on Enhancing Investor Protection and the Regulation of Securities Markets

Testimony of Fred J. Joseph Colorado Securities Commissioner and President North American Securities Administrators Association, Inc. Before the United States…

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RESOURCESBreaking Bulletins Senior-focused Newsroom Map (Elder Justice) Elder Justice Network Locator Map Education Money Smart for Older Adults Choosing a…

NASAA Expands Annual Top Investor Threat List

JOBS Act Implementation Prompts Additions of Threats to Small Business Owners WASHINGTON (October 15, 2013) – The North American Securities…