Search Results for: investor bill of rights

Protecting Consumers: What Can Congress Do To Help Financial Regulators?

Written Statement of the North American Securities Administrators Association To Be Included in the Hearing Record of The Subcommittee on…

NASAA Testimony Regarding Mutual Fund Fees

Written Statement of Denise Voigt Crawford President, North American Securities Administrators’ Association, Inc. Commissioner, Texas Securities Board Submitted to the…

NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors

Washington, D.C., Aug. 13, 2010 – The Securities and Exchange Commission, Financial Industry Regulatory Authority…

Informed Investor Advisory: Binary Options

Are you an informed investor? Beware of Online Binary Option Schemes In November 2015, NASAA cautioned investors that binary options…

2019 NASAA Presidential Address: Christopher Gerold, New Jersey Securities Bureau Chief

September 10, 2019NASAA Annual MeetingAustin, Texas Thank you Mike for your generous introduction and for all you’ve accomplished this past…

Informed Investor Advisory: Cryptocurrencies

Are you an informed investor? Be Cautious of the Crypto Investment Craze Cryptocurrencies burst into the investing mainstream in 2017…

Promises, promises: Investors warned about risky, fraudulent promissory notes

Con artists target elderly, even pray with victims to gain their trust Washington, D.C. (July 19, 1999) -- State securities…

NASAA Investor Bulletin: Making Sense of Financial Professional Designations

June 20, 2025 The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy, the North American Securities Administrators…

Risky ‘death futures’ draw warning from state securities regulators, congressional scrutiny

Promises of ‘guaranteed returns’ fuel losses in the hundreds of millions of dollars; High commissions entice independent insurance agents to…

2005 Presidential Speech, Patricia Struck, Administrator, Wisconsin Division of Securities

President's Remarks Patricia Struck Administrator, Wisconsin Division of Securities President, North American Securities Administrators Association September 13, 2005 NASAA 88th…