Search Results for: fraud

State Securities Regulators Announce New Model Rule on the Use of Senior Certifications and Professional Designations

NASAA Also Voices Strong Support for the ‘Senior Protection Act of 2008’ and Applauds Sen. Herb Kohl’s Leadership in the Fight…

SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors

Washington, D.C., February 8, 2008 – The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and…

NASAA Responds to U.S. Supreme Court Decision in Stoneridge Case

WASHINGTON, D.C.—The North American Securities Administrators Association (NASAA) today expressed its disappointment over the U.S. Supreme Court’s 5-3 ruling against…

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

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

Conversation Starters – In Crisis

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

NASAA Marks Cryptocurrency Anniversary With a Word of Caution

New NASAA video helps explain cryptocurrency risks WASHINGTON, D.C. (October 31, 2018) – The North American Securities Administrators Association (NASAA)…

State Securities Regulators Issue Senior Investor Alert

NASAA says retirees and those nearing retirement remain vulnerable as they manage a lifetime of savings WASHINGTON, D.C. (September 10, 2007)…

NASAA Outlines Dangers Facing Senior Investors

Borg: “States have been in the vanguard developing innovative regulatory responses to fight senior investment fraud.” WASHINGTON, D.C. (September 5, 2007)—The…

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…

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,…