Search Results for: investor bill of rights

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…

NASAA Preemption Resource Center

The state-federal system of regulation within the United States is collaborative and complementary. Congress in 2004 recognized that state securities regulators…

“Top 10 Investment Scams” List Released by State Securities Regulators

WASHINGTON (April 23, 2001) – State securities regulators today released a list of the top 10 investment scams they are…

Informed Investor Alert: Gold

Are you an informed investor? Gold! Gold-related investments are on the rise. Historically speaking, the value of gold-related investments fluctuates…

Online Investors Get 10 Tips from State Securities Regulators

WASHINGTON (May 25, 2000) – State securities regulators today unveiled a list of tips for online investors. Some 200 securities…

Investors Get Help in Shopping for Certificates of Deposit

Handy checklist available from state securities regulators Washington (August 30, 2001) – While the volatile stock market can make certificates…

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…

“Prime bank” scams on the rise, state securities regulators warn

Low interest rates, distrust of government, Internet fuel billions in losses; Bogus schemes likened to Wall Street’s “X-Files,” called “Fraud…

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…

Investor Library

Recognizing that education and awareness are powerful tools in the fight against investment fraud, NASAA is pleased to offer a collection of investor education…