Search Results for: investor bill of rights
Regulators Urge Investors to Carefully Check Credentials of ‘Senior Specialists’
WASHINGTON, DC (December 12, 2005) —The North American Securities Administrators Association (NASAA) today urged seniors to carefully check the credentials…NASAA Commends SEC for Advancing Equity Indexed Annuities Proposal
Tyler: “Shielding investors from the predatory sale of EIAs is one of the most important steps the SEC can take…Venture Exchanges and Small-Cap Companies
WRITTEN STATEMENT OF WILLIAM BEATTY PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. AND WASHINGTON SECURITIES DIVISION DIRECTOR BEFORE THE SUBCOMMITTEE…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…100 Years of Investor Protection
Annual Conference to Focus on Past, Present and Future of Securities Regulation WASHINGTON (August 4, 2011) – State and provincial…SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
Washington, D.C., February 8, 2008 – The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and…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…Consumer and Investor Advocates Urge Congress to Resist Industry Efforts to Weaken Investor Protection
Investors, Including Seniors, Would be Harmed if Securities and Insurance Industry Opposition to a Fiduciary Duty for Investment Advice Prevails WASHINGTON,…Improving Financial Literacy
Committee on Financial Services Subcommittee on Financial Institutions and Consumer Credit "Improving Financial Literacy: Working Together to Develop Private Sector…
Washington, DC 20002
