Search Results for: 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…

NASAA Releases 2025 Enforcement Report

WASHINGTON, D.C. (October 16, 2025) – The North American Securities Administrators Association (NASAA) today released its 2025 Enforcement Report, identifying…

NASAA Issues Investor Advisory on Private Placement Offerings

Lifting the Advertising Ban Will Expose Investors to Greater Risk of Fraud Download: Investor Advisory WASHINGTON, D.C. (April 2, 2013)…

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 Highlights Top Investor Threats for 2023

Scammers Use Technology and Play on Emotions to Target Retail Investors WASHINGTON, D.C. (April 20, 2023) – The North American…