Search Results for: investor bill of rights

Investor Bill of Rights

When you invest, you have a right to Ask for and receive information from a firm about the work history…

Examining Private Market Exemptions as a Barrier to IPOs and Retail Investment

Written Testimony of Michael S. PieciakNASAA Past-President and Vermont Commissioner of Financial RegulationOn behalf of The North American Securities Administrators…

The Federal Arbitration Act and Access to Justice: Will Recent Supreme Court Decisions Undermine the Rights of Consumers, Workers, and Small Businesses?

WRITTEN STATEMENT OF MIKE ROTHMAN COMMISSIONER OF THE MINNESOTA DEPARTMENT OF COMMERCE ON BEHALF OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS…

NASAA Exam Data Website Terms of Use

These Terms of Use govern access to and use of the Website and Exam Data. By clicking ACCEPT & CONTINUE,…

Legislative Proposals to Enhance Capital Formation for Small and Emerging Growth Companies, Part II

Written Testimony of William Beatty Washington Securities Division Director and President-Elect of the North American Securities Administrators Association, Inc. House…

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…

A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

TESTIMONY OF MELANIE SENTER LUBIN MARYLAND SECURITIES COMMISSIONER ON BEHALF OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION BEFORE THE U.S.…

NASAA Testimony Before the Financial Crisis Inquiry Commission

Testimony of Denise Voigt Crawford Commissioner, Texas Securities Board and President North American Securities Administrators Association, Inc. Before the United…

Securities Frauds on the Internet and Current Issues Concerning Online Trading

Testimony of G. Philip Rutledge Deputy Chief Counsel, Pennsylvania Securities Commission Before the Permanent Subcommittee on Investigations of the Committee…

A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

WRITTEN STATEMENT OF MIKE ROTHMAN PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION AND MINNESOTA COMMISSIONER OF COMMERCE BEFORE THE U.S. HOUSE…