Search Results for: investor bill of rights

NASAA Investor Bulletin: World Investor Week 2025

October 6, 2025 The Financial Industry Regulatory Authority (FINRA), the North American Securities Administrators Association (NASAA), the National Futures Association…

Our Role

Putting Investors First THE ROLE OF STATE SECURITIES REGULATORS For more than 100 years, state securities regulators have been protecting…

2011 Presidential Speech, Jack Herstein, Assistant Director, Nebraska Department of Banking and Finance

Jack Herstein Assistant Director, Nebraska Department of Banking & Finance Bureau of Securities President, North American Securities Administrators Association September…

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…

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 Joins with Securities Regulators Around the World During World Investor Week

WASHINGTON, D.C. – (October 2, 2023) – The North American Securities Administrators Association (NASAA) today joined with the SEC’s Office…

Investment frauds using religion on the rise, state regulators warn

WASHINGTON (August 7, 2001) – Investment frauds that take advantage of victims’ religious or spiritual beliefs are rising dramatically, state…

Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors

Washington, D.C., Sept. 22, 2008 – As part of the Securities and Exchange Commission’s third annual Seniors Summit held in…