Search Results for: investor bill of rights

NASAA Investor Bulletin: Technology and Digital Finance: World Investor Week 2024

Oct. 7, 2024 The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s (CFTC’s) Office of…

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 Legislative Agenda for the 117th Congress Principle Two

PRINCIPLE TWO:Congress should work to restore the preeminence of the U.S. public securities markets and enact reforms to enhance regulatory…

The JOBS Act at Five: Examining Its Impact and Ensuring the Competitiveness of the U.S. Capital Markets

Written Statement of Mike Rothman President, North American Securities Administrators Association, Inc. Minnesota Commissioner of Commerce Before the U.S. House…

Informed Investor Advisory: Precious Metals and Coin Investments

Are you an informed investor? Precious Metals and Coin Investments Predictions around volatility in the domestic and global economy have…