Search Results for: fraud

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…

State Securities Regulators Report Increases in Enforcement Actions, Money Ordered Returned to Investors & Years of Incarceration for Securities Law Violations

WASHINGTON (December 12, 2006) – State securities regulators today reported significant increases in the number of enforcement actions, money ordered returned…

Investor Advocates and State Securities Regulators Call on SEC to Rethink JOBS Act Rule

News Conference Remarks WASHINGTON (October 9, 2012) – In a news teleconference this afternoon, Arkansas Securities Commissioner Heath Abshure, who is also…

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 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 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…

Multilingual Resources

Many Voices, One Message: Investor Protection Investor education, as with investment fraud, knows no borders. Our library of multilingual investor…

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…