Search Results for: investor bill of rights

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…

NASAA Announces Top Investor Threats

Investors Reminded to Approach Unsolicited Offers with Caution WASHINGTON, D.C. (December 21, 2015) – The North American Securities Administrators Association (NASAA)…

NASAA Announces State Enforcement Actions Against GPB Capital Holdings for Allegedly Defrauding Investors in $1.8 Billion Private Offering Scheme

WASHINGTON, D.C. (February 4, 2021) – The North American Securities Administrators Association (NASAA) today announced that seven state securities agencies…

Senior Investor Alert: Free Meal Seminars

Seminars, Specialists and Abusive Sales Practices State securities regulators warn senior investors to be aware that a combination of “free…

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…