Search Results for: fraud

Sandwich Generation: Common Investment Scams

Each year, investors are targeted with a variety of misleading sales tactics, or worse, outright fraud. Investors also have to…

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…

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…

Informed Investor Advisory: Private Placement Offerings

Are you an informed investor? Private Placement Offerings The COVID-19 pandemic has caused significant disruption and anxiety to individuals and…

Top Investor Threats

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

FINANCIAL EMPOWERMENT FOR WOMEN

Invest in Yourself: Tools to Empower Women Investors NASAA’s Financial Empowerment for Women resources are designed to empower women investors…

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…

Remarks of NASAA President Melanie Senter Lubin at the NASAA 2022 Public Policy Symposium

May 17, 2022 NASAA 2022 Public Policy Symposium Washington, D.C. Presidential Address Thank you, Karima. We appreciate the kind welcome…

NASAA, NAPSA Unite to Fight Financial Elder Abuse

State Securities Regulators & Adult Protective Services Workers Announce Partnership to Prevent Elder Abuse Washington, D.C. (June 15, 2009)––The North…

States Report Increased Withdrawals of Licenses of Unscrupulous Brokers, Investment Advisers

NASAA Enforcement Report Details Investor Protection Role of State Securities Regulators Download: 2013 Enforcement Report on 2012 Data (pdf) WASHINGTON (October 31,…