Search Results for: fraud

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…

A Presidential Conversation: William Beatty and Andrea Seidt

The following is adapted from remarks given at NASAA's Annual Conference on September 16, 2014 by William Beatty, NASAA President…

Conversation Starters – In Crisis

Conversation Starters for When the Going Gets Rough Getting Started When in crisis, people are especially vulnerable to poor financial…

A Pro-Investor Legislative Agenda For the 110th Congress

News Conference Opening Statement Joseph P. Borg Director, Alabama Securities Commission President, North American Securities Administrators Association January 25, 2007…

NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen

Legislation Remains Fundamentally Flawed Product of Rush to Legislate WASHINGTON (March 22, 2012) – Congress and the White House have…