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…

“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 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…

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…

State securities cops announce actions against sellers of payphone schemes

Losses estimated at $76 million so far WASHINGTON (March 13, 2001) – State securities regulators from Washington state to Florida…

NASAA Cautions Retail Investors About Exchange-Traded Funds

Certain ETFs May Not be Appropriate for Long-term Investors ETF Investor Advisory WASHINGTON, D.C. (June 27, 2011) – Exchange–traded funds…

NASAA Reminds Investors to Investigate Before They Invest

WASHINGTON (February 22, 2011) – Sunday, Feb. 20 marked the start of America Saves Week, a seven-day campaign to encourage…

NASAA and SEC Announce $100 Million Settlement with BlockFi Lending, LLC

$50 Million Settlement Share To Go To State Securities Regulators To Settle Unregistered Offer and Sale of Digital Asset Investments…

NASAA Calls for Balanced, Sensible Policy Reforms Reflecting ‘Smarter Regulation’ That Does Not Scale Back Investor Protection as New Capital Formation Proposals Emerge

State securities regulators concerned about ‘overarching deregulatory nature’ of proposals Download annotated testimony WASHINGTON (May 1, 2014) – The North…