Search Results for: investor bill of rights

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…

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…

NASAA Symposium Opening Statement, NASAA President Joseph Borg

Protecting Investors and the Integrity of Financial Markets Joseph Borg Director, Alabama Securities Commission President, North American Securities Administrators Association…

NASAA Outlines Regulatory Reform Plan Promoting Wall Street Change for the Benefit of Main Street

WASHINGTON, D.C. December 11, 2008 — A delegation of state securities regulators today offered the incoming Obama Administration and the…

Informed Investor Advisory: Franchises

Are you an informed investor? Franchises When Joe retired, he decided to buy a popular fast food franchise. The salesperson…

IAPD Glossary

Bond Typically refers to a long-term promissory note in which the issuer agrees to pay the owner a specific interest rate…

Supreme Court Decision in American Express Case Underscores Need for Congress to Prohibit Forced Arbitration

WASHINGTON, D.C. (June 25, 2013) – The Supreme Court has handed large corporations a significant victory in a decision that…

Compliance Matters: Best Practices for Investment Advisory Contract Terms

IA Compliance: Best Practices for Investment Advisory Contract Terms The following information reflects the views of NASAA’s Investment Adviser Section…