Search Results for: fraud

Corporate Governance and Shareholder Empowerment

Testimony of Steven D. Irwin Pennsylvania Securities Commissioner and Chairman, Federal Legislation Committee North American Securities Administrators Association, Inc. Before…

State and Provincial Securities Regulators Offer Resources Addressing Unique Investing Issues Facing Women

New Outreach Program Designed to Help Women Strengthen Financial Confidence WASHINGTON, D.C. (March 2, 2020) —In recognition of Women’s History…

2019 NASAA Presidential Address: Christopher Gerold, New Jersey Securities Bureau Chief

September 10, 2019NASAA Annual MeetingAustin, Texas Thank you Mike for your generous introduction and for all you’ve accomplished this past…

NASAA, SEC Sign Info-Sharing Agreement For Crowdfunding and Other Offerings

NASAA President Mike Rothman (L) and SEC Acting Chairman Michael Piwowar sign…

NASAA Forms COVID-19 Enforcement Task Force

WASHINGTON, D.C. (April 28, 2020) – The North American Securities Administrators Association (NASAA) today announced the formation of the COVID-19…

NASAA Outlines Changes Needed to Strengthen Senate Financial Regulatory Reform Package

WASHINGTON (April 27, 2010) – North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford today…

Common Investment Schemes

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

Senior Summit

SEC, NASAA and FINRA Gather to Coordinate Efforts to Protect Older Investors from Financial Fraud Hosted by the Securities and…

Investor Education Resources for Youth and Educators

For Youth A strong foundation of financial education can help you build a lifetime of good money management habits and…

Investor Education Resources for Adults and Families

Investigate Before You Invest Building a secure financial future for yourself and your family requires the tools to develop an…