Search Results for: investor bill of rights
Investors Urged to Discount Online Brokerage Advertising
State securities regulators warn of hidden costs, delayed executions, dangers of trading too much WASHINGTON (November 26, 1999) – With…Securities industry urged to tell investors to check out stockbrokers’ backgrounds
WASHINGTON (September 28, 1999) -- Securities firms should tell new customers to check a regulatory database to verify the backgrounds…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 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 Deputy General Counsel Named New SEC Investor Advocate
WASHINGTON, D.C. (February 12, 2014) – The North American Securities Administrators Association (NASAA) today congratulated NASAA Deputy General Counsel Rick…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 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…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…
Washington, DC 20002
