Search Results for: investor bill of rights
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…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…IAPD Glossary
Bond Typically refers to a long-term promissory note in which the issuer agrees to pay the owner a specific interest rate…Informed Investor Advisory: Franchises
Are you an informed investor? Franchises When Joe retired, he decided to buy a popular fast food franchise. The salesperson…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…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…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…Multilingual Resources
Many Voices, One Message: Investor Protection Investor education, as with investment fraud, knows no borders. Our library of multilingual investor…NASAA Research Shows Investor Confusion Over Brokerage Fees
Most Investors Don’t Know the Cost to Service and Maintain Their Accounts Summary of Survey Results: Investor Confusion About Brokerage…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…
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