Search Results for: investor bill of rights

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…

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…

Informed Investor Advisory: Cryptocurrencies

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

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…

1998 Presidential Speech, New Hampshire Director of Securities Regulation Peter Hildreth

President's Remarks Peter C. Hildreth New Hampshire Director of Securities Regulation President, North American Securities Administrators Association October 6, 1998…

Market Structure Issues for the Futures, Options and Equities Markets

Testimony of Bradley W. Skolnik Indiana Securities Commissioner and NASAA President Before the Committee on Banking, Housing and Urban Affairs,…

State Securities Regulators Announce $1.3 Billion Settlement with Wells Fargo Investors in Auction Rate Securities Investigations

WASHINGTON, D.C. November 18, 2009 - The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…

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…

State and Provincial Securities Regulators Conduct Coordinated International Crypto Crackdown

Borg: “The actions announced today are just the tip of the iceberg." Cryptosweep Presentation WASHINGTON, D.C. (May 21, 2018) – The…