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,…

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 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.…

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…

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…

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…