Search Results for: fraud
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…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…NASAA Identifies Top 10 Investor Traps
WASHINGTON (August 18, 2009) – With a new school year about to begin, the North American Securities Administrators Association (NASAA)…Your Parents
Investor Self-DefenseAs a member of SandGEN, one of your responsibilities may be to protect your elderly family members and their…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 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…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…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…
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