Search Results for: fraud

NASAA amicus curiae brief regarding the impact of Jarkesy on Arizona antifraud enforcement and the scope of the non-public offering exemption.

Thirty-one State Regulators Urge Congress to Preserve their Role as Fraud Fighters in the Federal Market Structure Proposals

NASAA Letter to Congress Opposing “The Securities Fraud Act of 2018” (H.R. 5037)

Twenty-nine State Regulators Urge Congress to Preserve State Anti-Fraud Enforcement Authority in Digital Assets Market Structure Legislation

NASAA’s Memorandum in Support of Jurisdiction to the Ohio Supreme Court in State of Ohio v. Willan, arguing that: (1) a finding of reliance is not required to support a securities fraud conviction; (2) a statement made for the purposes of registering a securities offering is material if a reasonable investor would consider it important in deciding whether to invest; and (3) registration and licensing regulations are to be construed broadly in order to protect the investing public.

NASSA’s Brief in Support of the State of Oregon’s Petition for Review to the Oregon Supreme Court in opposition of the Oregon Court of Appeals’ holding that Oregon’s anti-fraud law requires proof of reliance.

NASAA Urges Congress to Reject the “Securities Fraud Act”

Borg: “Real people will suffer as a result of this misguided and irresponsible legislation.” Written Testimony WASHINGTON, D.C. (June 13,…

State securities cops warn about religious “affinity fraud”

Losses in Greater Ministries case feared at $200 million WASHINGTON (September 1, 1999) – State securities regulators today issued a…

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

Written Statement of the North American Securities Administrators Association U.S. Senate Committee on Homeland Security and Governmental Affairs Subcommittee on…

The Securities Fraud Deterrence and Investor Restitution Act of 2003 (H.R. 2179)

Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Subcommittee on Capital Markets, Insurance and Government…