Search Results for: fraud

The Role of State Securities Regulators in Protecting Investors

Testimony of Ralph A. Lambiase Director, Division of Securities Connecticut Department of Banking & President North American Securities Administrators Association,…

Betting on Death in the Life Settlement Market – What’s at Stake for Seniors?

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

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.

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

Investment Fraud Awareness Quiz

NASAA files brief in Whistler Investments, Inc. v. The Depository Trust and Clearing Corporation, arguing that federal law does not preempt a fraud claim under state law against various clearing and settlement organizations.

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

NASAA files an amicus brief in the Eighth Circuit in Pet Quarters, Inc. v. The Depository Trust and Clearing Corporation, arguing that federal law does not preempt a fraud claim under state law against various clearing and settlement organizations.

NASAA Calls on the Federal Government to Leverage the State-Federal Partnership that Fosters Innovation and Mitigates Fraud in Our Capital Markets

NASAA Urges Congress to Protect Investment Contract Law and Pass the Support Anti-Fraud Enforcement Act

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