Search Results for: fraud
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 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…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)…Legislation to Further Reduce Impediments to Capital Formation
Testimony of A. Heath Abshure Arkansas Securities Commissioner and Immediate Past-President of the North American Securities Administrators Association, Inc. Before…2013 Presidential Address: Andrea Seidt Ohio Securities Commissioner
October 8, 2013NASAA 96th Annual ConferenceSalt Lake City, Utah Good afternoon distinguished guests, colleagues, and fellow regulators in the United…
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