Search Results for: investor bill of rights

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…

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…

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…

Informed Investor Advisory: Social Media, Online Trading and Investing

Are you an informed investor? Social Media, Online Trading and Investing In our digitally connected world, some investors turn to…

NASAA Announces Launch of Investor Protection and Education Foundation and Seeks Nominations for Inaugural Board Members

Washington, DC, June 2, 2025 – The North American Securities Administrators Association (NASAA) today announced the launch of the NASAA…

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…

New Products in Classic Schemes Identified as Top Investor Threats

WASHINGTON (November 12, 2014) – The North American Securities Administrators Association (NASAA) today identified emerging threats investors are likely to…

NASAA, SEC to Jointly Host First Older Investor Roundtable Focused on Emerging Issues and Protection Challenges

The April 28 Event to Feature AARP WASHINGTON, D.C. – (April 25, 2022) – The North American Securities Administrators Association…