Search Results for: fraud

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…

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…

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…

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…

NASAA, SEC Sign Info-Sharing Agreement For Crowdfunding and Other Offerings

NASAA President Mike Rothman (L) and SEC Acting Chairman Michael Piwowar sign…