Search Results for: fraud

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…

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)…

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…

Securities Industry and Regulators Launch Combined Investor Education Initiative

Group Unveils Informational Brochure On Promissory Notes Washington, D.C., April 12, 2001 – In an effort to ensure that the…

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…