Search Results for: fraud

NASAA Letter in Support of the Edith Shorougian Senior Victims of Fraud Compensation Act of 2020 (S.3487)

NASAA Principal Transaction Anti-Fraud Provisions for Investment Advisers Model Rule 102(f)-2

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…

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