NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™

Search Results for: fraud

The Sandwich Generation

NASAA Outreach Initiative: The Sandwich Generation Do you find yourself struggling to plan for your retirement while also helping children…

Investor Library

Recognizing that education and awareness are powerful tools in the fight against investment fraud, NASAA is pleased to offer a collection of investor education…

NASAA Legislative Agenda for the 117th Congress Principle Three

PRINCIPLE THREE:Congress should promote policies designed to enhance diversity and inclusion in all aspects of the capital markets, take steps…

NASAA Supports World Elder Abuse Awareness Day

WASHINGTON, June 15, 2015— The North American Securities Administrators Association (NASAA) today recognized World Elder Abuse Awareness Day (WEAAD) by…

Senate Banking Committee Examines Important Role of State Securities Regulators in Protecting Investors

WASHINGTON (June 2, 2004)—In testimony before the Senate Banking Committee, state securities regulators today highlighted the important role states play…

NASAA Statement On Multi-State Enforcement Action Targeting Advance Fee Scheme

WASHINGTON (September 24, 2003) -The following is a statement by Ralph A. Lambiase, President of the North American Securities Administrators…

State Securities Regulators Install New President, Board of Directors

New NASAA President Ralph A. Lambiase pledges to focus on increasing cooperation among regulators, maintaining state authority, advancing shareholders’ rights,…

“Top 10 Investment Scams” List Released by State Securities Regulators

WASHINGTON (April 23, 2001) – State securities regulators today released a list of the top 10 investment scams they are…

The Need for Financial Aid to America’s States and Territories During the Pandemic

Written Statement of Lisa HopkinsWest Virginia Senior Deputy Securities Commissioner and NASAA PresidentOn Behalf of The North American Securities Administrators…

Our Role

Putting Investors First THE ROLE OF STATE SECURITIES REGULATORS For more than 100 years, state securities regulators have been protecting…




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