Search Results for: fraud

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…

NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen

Legislation Remains Fundamentally Flawed Product of Rush to Legislate WASHINGTON (March 22, 2012) – Congress and the White House have…

Martin Frankel case: A phone call could’ve saved billions, note state securities cops

Computer database, available to the public, contains work, disciplinary records on 600,000 stockbrokers WASHINGTON (June 24, 1999)– One phone call…

Setting Up House

Conversation Starters for CouplesGetting StartedCommunication is an essential part of a healthy financial and personal relationship. The conversation about money…

Regulatory & Legal Activity

Regulatory Activity NASAA welcomes the opportunity to continue to work with our regulatory counterparts to collectively use our resources to…

State Securities Regulators Join America Saves Week to Build Awareness of Safe Financial Behavior

WASHINGTON, D.C. (February 27, 2017) — Members of the North American Securities Administrators Association (NASAA) are participating in America Saves…

NASAA Legislative Agenda for the 117th Congress Principle Four

PRINCIPLE FOUR:Congress should vigorously exercise its oversight authority on behalf of the investing public – including, and especially, retail investors.Congress…

The ALERT INVESTOR

The Alert InvestorWelcome to The Alert Investor, a series of podcasts produced by NASAA to provide investors with investor protection…

NASAA Introduces New Podcast Series “Real Life Regulators”

Series Goes Inside Investigations from the Enforcement Files of NASAA Members Listen to Episode 1 WASHINGTON, D.C. (January 8, 2020)—The…

Enforcement Statistics

The latest data from the NASAA 2024 Enforcement Report reinforces the critical role of securities regulators in protecting investors from…