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Search Results for: investor bill of rights

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…

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…

Madoff – A 21st Century Ponzi Scheme

Bernard Madoff perpetrated a multi-billion dollar scam that defrauded investors around the world for decades until his arrest in December 2008.…

NASAA Urges Investors to Approach High-Yield Investment Programs With Caution

Download: NASAA Informed Investor Advisory (pdf) WASHINGTON, DC, November 20, 2014 – The North American Securities Administrators Association (NASAA) today issued…

2023 NASAA Presidential Address: Claire McHenry, Deputy Director of the Nebraska Department of Banking and Finance Bureau of Securities

2023 NASAA President Claire McHenry Presidential Address to NASAA Membership September 12, 2023 NASAA 2023 Fall Annual Meeting San Diego,…
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
750 First Street NE, Suite 990
Washington, DC 20002
202-737-0900
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
750 First Street NE, Suite 990
Washington, DC 20002
202-737-0900
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