Search Results for: fraud

Legislation to Further Reduce Impediments to Capital Formation

Testimony of A. Heath Abshure Arkansas Securities Commissioner and Immediate Past-President of the North American Securities Administrators Association, Inc. Before…

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…

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 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…

2021 NASAA Presidential Address: Melanie Senter Lubin, Maryland Securities Commissioner

Tuesday, September 21, 2021NASAA Annual ConferenceChicago, Illinois Thank you, Lisa, for your very kind and generous introduction. Before I begin…

NASAA Issues Investor Advisory on Private Placement Offerings

Lifting the Advertising Ban Will Expose Investors to Greater Risk of Fraud Download: Investor Advisory WASHINGTON, D.C. (April 2, 2013)…

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…