Search Results for: investor bill of rights

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…

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 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…

Oil & Gas Investment Fraud

State securities regulators around the country warn that oil and gas investment scams are alive and well. High oil prices…

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…

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…

Written NASAA Statement Regarding the Draft Recommendation Dated September 11, 2025, by the SEC’s Investor as Owner and Market Structure Subcommittees of the IAC Regarding Retail Investor Access to Private Market Assets

Date: September 18, 2025 Written NASAA Statement Regarding the Draft Recommendation Dated September 11, 2025, by the SEC’s Investor as…

NASAA Announces Inaugural Board of Directors of NASAA Investor Protection and Education Foundation

Washington, D.C. – (August 7, 2025) – The North American Securities Administrators Association (NASAA) is proud to announce the appointment…

State Securities Regulators Announce Settlement with E*TRADE in Auction Rate Securities Investigations

WASHINGTON, D.C., October 19, 2011 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…