Search Results for: investor bill of rights

One Broker Gone Bad: Punishing the Criminal, Making Victims Whole

Testimony of Bradley W. Skolnik Indiana Securities Commissioner Chairman, Enforcement Section Before the House Financial Services Oversight and Investigations Subcommittee,…

NASAA President Andrea Seidt’s Remarks at the 2014 SIFMA Compliance and Legal Society Annual Meeting

Andrea SeidtPresident, North American Securities Administrators Association2014 SIFMA Compliance and Legal SocietyApril 1, 2014 Good morning distinguished guests and colleagues.…

State Securities Regulators Identify Top 10 Traps Facing Investors

WASHINGTON (May 15, 2007) – The North American Securities Administrators Association today released its annual forecast of the Top 10…

NASAA Highlights National Consumer Protection Week; Offers Education Resources to Help Protect Investors from Fraud

WASHINGTON, D.C. – (March 3, 2022) – In support of National Consumer Protection Week, March 6-12, 2022, the North American…

Informed Investor Advisory: The Metaverse

Are you an informed investor? Investment Scams in the Metaverse:How to Protect Yourself from Losing Real Money in the Virtual…

NASAA Symposium Opening Statement, NASAA President Joseph Borg

Protecting Investors and the Integrity of Financial Markets Joseph Borg Director, Alabama Securities Commission President, North American Securities Administrators Association…

NASAA Outlines Regulatory Reform Plan Promoting Wall Street Change for the Benefit of Main Street

WASHINGTON, D.C. December 11, 2008 — A delegation of state securities regulators today offered the incoming Obama Administration and the…

Informed Investor Advisory: Franchises

Are you an informed investor? Franchises When Joe retired, he decided to buy a popular fast food franchise. The salesperson…

IAPD Glossary

Bond Typically refers to a long-term promissory note in which the issuer agrees to pay the owner a specific interest rate…

Supreme Court Decision in American Express Case Underscores Need for Congress to Prohibit Forced Arbitration

WASHINGTON, D.C. (June 25, 2013) – The Supreme Court has handed large corporations a significant victory in a decision that…