Search Results for: fraud

The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

Testimony of Lynne Egan Montana Deputy Securities Commissioner Member, NASAA Investor Education Section Before the Subcommittee on Oversight of Government…

State Securities Regulators Release Top 10 Scams, Schemes & Scandals

Mutual Fund Practices, Senior Investment Fraud, Variable Annuities Join 2004 List WASHINGTON (January 14, 2004) – State securities regulators today…

NASAA’s Brief to the Oregon Supreme Court in Support of the State of Oregon’s Brief on the Merits in Oregon v. Marsh & McLennan Companies, Inc., arguing that the Oregon Court of Appeals erred by holding that: (1) antifraud claims under Blue Sky statutes prohibiting misrepresentations and omissions require proof of reliance; and (2) reliance cannot be presumed under the “fraud on the market” doctrine based on the general investment market’s reliance on the misstatements or omissions.

Task Force Takes More Than 200 Actions to Protect Investors From Fraudsters Seeking to Profit from the Pandemic

WASHINGTON, D.C. (August 19, 2020) – The North American Securities Administrators Association (NASAA) today announced that its COVID-19 Enforcement Task…

NASAA Testimony on Enhancing Investor Protection and the Regulation of Securities Markets

Testimony of Fred J. Joseph Colorado Securities Commissioner and President North American Securities Administrators Association, Inc. Before the United States…

Resources

RESOURCESBreaking Bulletins Senior-focused Newsroom Map (Elder Justice) Elder Justice Network Locator Map Education Money Smart for Older Adults Choosing a…

NASAA Expands Annual Top Investor Threat List

JOBS Act Implementation Prompts Additions of Threats to Small Business Owners WASHINGTON (October 15, 2013) – The North American Securities…

Real Life Regulators

Welcome to Real Life Regulators, a podcast featuring investment fraud cases from the files of state and provincial securities regulators…

NASAA’s 2005 Top 10 Threats to Investors

Widmann: "If it sounds too good to be true, it usually is" WASHINGTON (March 24, 2005) – The North American…

Con Artists Find Profit in Get-Rich Schemes Tied to Economic Uncertainty

NASAA Identifies Investor Threats Among Financial Products and Practices WASHINGTON (August 23, 2011) – The North American Securities Administrators Association…