Search Results for: investor bill of rights

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 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…

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 Cautions Investors to be Wary of Speculative Energy Investments

Download: Energy Investment Advisory WASHINGTON, D.C. (June 18, 2013) – With energy demands and a desire for energy independence increasing…

Oil & Gas Investment Fraud

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