Search Results for: investor bill of rights

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…

NASAA Legislative Agenda for the 117th Congress Principle Three

PRINCIPLE THREE:Congress should promote policies designed to enhance diversity and inclusion in all aspects of the capital markets, take steps…

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…

Financial Services Regulatory Relief Legislation

Written Statement of the North American Securities Administrators Association to the Senate Committee on Banking, Housing and Urban Affairs Regarding…

H.R. 3505 – The Financial Services Regulatory Relief Act of 2005

Written Statement of the North American Securities Administrators Association To The Financial Institutions and Consumer Credit Subcommittee House Committee on…