Search Results for: fraud

NASAA Releases 2025 Enforcement Report

WASHINGTON, D.C. (October 16, 2025) – The North American Securities Administrators Association (NASAA) today released its 2025 Enforcement Report, identifying…

NASAA Releases Annual Enforcement Report

Report Indicates Seniors Remain a Top Target for Cons DOWNLOAD > 2015 NASAA Enforcement Report on 2014 Data WASHINGTON, D.C.…

NASAA Supports SEC Equity-Indexed Annuities Proposal

WASHINGTON, D.C. September 11, 2008—The North American Securities Administrators Association (NASAA) today endorsed a proposed rule by the U.S. Securities…

NASAA Identifies Traps Likely to Burn Investors This Summer

WASHINGTON, D.C. June 17, 2008—As summer approaches, the North American Securities Administrators Association warns that scamsters are using every trick…

NASAA Study Examines Broker-Dealer Senior Practices and Procedures

Study Shows How Firms Can Help to Guard Senior Investors From Harm Download full report WASHINGTON, D.C. (June 15, 2017)…

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…

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…

New Products in Classic Schemes Identified as Top Investor Threats

WASHINGTON (November 12, 2014) – The North American Securities Administrators Association (NASAA) today identified emerging threats investors are likely to…