Search Results for: investor bill of rights

President’s Remarks, NASAA CRD/IARD Training

Ralph Lambiase Director, Connecticut Division of Securities President, North American Securities Administrators Associaion April 30, 2004 NASAA 2004 CRD/IARD Training…

President's Remarks, NASAA CRD/IARD Training

Ralph Lambiase Director, Connecticut Division of Securities President, North American Securities Administrators Associaion April 30, 2004 NASAA 2004 CRD/IARD Training…

Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight

Testimony of Steven D. Irwin Pennsylvania Securities Commissioner and Chairman, Federal Legislation Committee North American Securities Administrators Association, Inc. Before…

NASAA Investor Alert: Self-Directed IRAs and the Risk of Fraud

February 7, 2023 The North American Securities Administrators Association (NASAA), the SEC’s Office of Investor Education and Advocacy, and the…

NASAA Bulletin: Investor Resilience – World Investor Week 2022

Oct. 3, 2022 For World Investor Week 2022, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make…

NASAA Outlines Core Principles for Regulatory Reform in Financial Services

WASHINGTON, D.C. November 19, 2008 — The North American Securities Administrators Association today released five core principles to help guide…

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…

The SEC’s Potential Role in Addressing Elder Financial Abuse Issues

Written Statement of Kristen StandiferLicensing and Examinations Supervisor for the Washington State Department of Financial Institutions and Chair of the…

2019 NASAA Presidential Address: Christopher Gerold, New Jersey Securities Bureau Chief

September 10, 2019NASAA Annual MeetingAustin, Texas Thank you Mike for your generous introduction and for all you’ve accomplished this past…

2006 Presidential Speech, Alabama Securities Commission Director Joseph Borg

President's Remarks Joseph P. Borg Director, Alabama Securities Commission President, North American Securities Administrators Association September 19, 2006 NASAA 89th…