Search Results for: investor bill of rights

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,…

Informed Investor Advisory: Bond Ratings

Are you an informed investor?Be Wary of Bond Ratings Look Beyond Ratings When Considering Investing in BondsBackgroundBonds are part of many…

Informed Investor Advisory: Third-Party Custodians of Self-Directed IRAs and Other Qualified Programs

Are you an informed investor? Third-Party Custodians of Self-Directed IRAs or Other Qualified Programs While self-directed IRAs can be a…

NASAA Cautions Main Street Investors Against Making Uninformed, Sudden Decisions Amid Wall Street Crisis

Joseph: “In times of confusion, fear and uncertainty, there are always those who will try to prey on the investing…

NASAA President Heath Abshure's Remarks on SEC General Solicitation Proposed Rule

As the Securities and Exchange Commission (SEC) takes up a JOBS Act-required rule to allow the general advertising of unregistered…

NASAA President Identifies Enhancements to Investor Protection Since Passage of the Dodd-Frank Act

Full Testimony WASHINGTON (July 12, 2011) – In testimony before the U.S. Senate Banking Committee, North American Securities Administrators Association…

State Securities Regulators Announce Settlement with Raymond James in Auction Rate Securities Investigations

WASHINGTON, D.C., June 29, 2011 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…

Issue Focus:

The JOBS Act Background The Jumpstart Our Business Startups (JOBS) Act was passed by Congress on March 27, 2012…

State Securities Regulator Elected Vice Chair of SEC Investor Advisory Committee

WASHINGTON, D.C. (June 12, 2012) – The North American Securities Administrators Association (NASAA) announced today that veteran Iowa securities regulator…

NASAA Identifies Traps Likely to Burn Investors This Summer

WASHINGTON, D.C. June 17, 2008—As summer approaches, the North American Securities Administrators Association warns that scamsters are using every trick…