Search Results for: fraud

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…

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.…

State and Provincial Securities Regulators Conduct Coordinated International Crypto Crackdown

Borg: “The actions announced today are just the tip of the iceberg." Cryptosweep Presentation WASHINGTON, D.C. (May 21, 2018) – The…

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)…

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 Releases Annual Enforcement Report

The latest data reinforces the critical role of securities regulators in protecting investors from fraud and financial abuse. DOWNLOAD: 2022 Enforcement…