Search Results for: investor bill of rights

NASAA Investor Alert: Relationship Investment Scams

The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s Office of Customer Education and Outreach…

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 Investor Education Outreach Programs

Most state and provincial securities regulators have established investor education departments or divisions within their agencies. These investor education professionals…

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,…

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…

Broker-Dealer E&O Insurance Could Provide Relief for Investors with Unpaid Arbitration Awards

Download: NASAA Broker-Dealer Section E&O Insurance Survey ReportWASHINGTON, D.C. (December 11, 2019)—In a report released today, the North American Securities…

State Securities Regulators Announce Settlements with Merrill Lynch, Goldman Sachs, Deutsche Bank in Auction Rate Securities Investigations

WASHINGTON, D.C. August 21, 2008 — The North American Securities Administrators Association (NASAA) today announced that settlements in principle have…

NASAA Launches Native American Investor Outreach Initiative

SAN DIEGO (September 10, 2012) – The North American Securities Administrators Association (NASAA) announced at its annual conference today a…

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…