Search Results for: investor bill of rights

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…

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…

“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…

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…

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…

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…

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…

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 Warns Investors to Beware of Phantom Regulators

Con Artists Posing as U.S. Regulators Go Global to Lure Investors WASHINGTON, D.C. (July 28, 2005) – Want to check…