Search Results for: investor bill of rights
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…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…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…
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