Search Results for: fraud

NASAA VIDEOS

GET IN THE KNOW NASAA's Get in the Know series of 3-5 minute videos walks viewers through complex investment topic…

NASAA Warns of Potential Dangers of Crowdfunding Investment Opportunities

WASHINGTON, D.C. (May 15, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory warning investors to…

NASAA Releases Annual Enforcement Report

WASHINGTON, D.C. (September 29, 2021) – The North American Securities Administrators Association (NASAA) today released its annual enforcement report, which…

Top Investor Threats

NASAA Top Investor Threats The following list of the top financial products and practices that threaten to trap unwary investors…

2017 Presidential Address: Joseph P. Borg, Alabama Securities Commission Director

September 26, 2017 NASAA Annual Conference Seattle, Washington Thank you Mike for your generous introduction and for all you’ve accomplished…

Investment Adviser Guide

A BRIEF OVERVIEW:THE INVESTMENT ADVISER INDUSTRYThe following information is intended to be a brief overview concerning the investment adviser industry.…

Common Investment Schemes

The Sandwich Generation: What to Watch ForEach year, investors are targeted with a variety of misleading sales tactics, or worse,…

The Most Dangerous Piece of Mail You’ll Get All Year is For a Free Lunch

New AARP Survey Shows High Level of Concern About Impact of Financial Scams Among 55+ Population Washington, DC, November 12,…

NASAA President Outlines Key Elements of Meaningful Regulatory Reform in Congressional Testimony

WASHINGTON (October 6, 2009) – In testimony before the U.S. House Financial Services Committee, North American Securities Administrator Association President…

The Coronavirus is Novel but Crisis-related Scams are Nothing New

The North American Securities Administrators Association (NASAA) and FINRA have joined to encourage investors to proceed cautiously with new investment…