Search Results for: investor bill of rights
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…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.…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…Our Role
Putting Investors First THE ROLE OF STATE SECURITIES REGULATORS For more than 100 years, state securities regulators have been protecting…Resources
RESOURCESBreaking Bulletins Senior-focused Newsroom Map (Elder Justice) Elder Justice Network Locator Map Education Money Smart for Older Adults Choosing a…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…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…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…State Securities Cops Release New List of “Top 10 Investment Scams”
`Day-trading` seminars, promissory notes, viatical investments make ranking WASHINGTON (May 24, 1999) – State securities regulators today released a list…
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