Search Results for: fraud

NASAA to Detail Threats to Senior Investors

NASAA President and Wisconsin Securities Administrator Patricia D. Struck to Testify before U.S. Senate Special Committee on Aging WASHINGTON, D.C. (March…

NASAA Outlines Financial Education Initiatives in Testimony Before Federal Commission

WASHINGTON (May 20, 2004) — North Dakota Securities Commissioner Karen Tyler, on behalf of the North American Securities Administrators Association…

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 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)…

NASAA Statement On State Investigation of Morgan Stanley Mutual Fund Sales Practices

WASHINGTON (July 14, 2003) --The following is a statement by Christine A. Bruenn, President of the North American Securities Administrators…

States Urge Congress to Reconsider Proposal That Weakens Investor Protection

WASHINGTON (July 10, 2003) -- State securities regulators today voiced their strong opposition to a provision of the “Securities Fraud…

NASAA Statement on HR 2179

(May 21, 2003) - "We support more resources and investigative powers for the SEC, as this legislation would provide," said…

NASAA Announces Top Investor Threats

Investors Reminded to Approach Unsolicited Offers with Caution WASHINGTON, D.C. (December 21, 2015) – The North American Securities Administrators Association (NASAA)…

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…

State and Provincial Securities Regulators Offer Resources Addressing Unique Investing Issues Facing Women

New Outreach Program Designed to Help Women Strengthen Financial Confidence WASHINGTON, D.C. (March 2, 2020) —In recognition of Women’s History…