Search Results for: investor bill of rights
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 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…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,…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…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…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…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…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…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.…
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