Search Results for: investor bill of rights

SEC, State Securities Regulators Announce Promissory Note Enforcement Sweep

(June 1, 2000) - The U.S. Securities and Exchange Commission (SEC) and state securities regulators today announced a joint effort…

NASAA Annual Public Policy Symposium to Focus on Investor Protection in a Digital Age

U.S. Securities and Exchange Commission Chair Gary Gensler, U.S. Commodity Futures Trading Commission Chair Rostin Behnam to Participate WASHINGTON, D.C.…

The Financial Services Modernization Act of 1999

Testimony of Thomas E. Geyer Commissioner of Ohio Division of Securities Chair, Securities Activities of Banks Project Group Before the…

NASAA Testimony Before the New York Attorney General Regarding Micro-Cap Fraud

Testimony of Mark J. Griffin President, North American Securities Administrators Association Director, Utah Division of Securities Before the New York…

NASAA Helps Investors Assess Risks of Peer-to-Peer Lending

Informed Investor Alert: Peer-to-Peer Lending WASHINGTON, D.C. (December 13, 2010) – A good loan can be hard to find, so…

Beware of oil and gas schemes, state securities regulators warn investors

Con artists may seek to exploit fears over Mideast, oil supply WASHINGTON (March 6, 2003) - With oil prices near…

State Securities Regulators Remind Investors to Do Their Homework Before Investing in 529 College Savings Plans

WASHINGTON (December 22, 2005) —As the year draws to a close, many investors are making decisions for their long-term financial…

NASAA Recognizes Financial Capability Month by Promoting Investor Education Outreach Programs

WASHINGTON, DC, April 24, 2017 –The North American Securities Administrators Association, Inc. (NASAA) announced its support of National Financial Capability…

State Securities Regulators Say New Study Clearly Shows Investors View Securities Arbitration as Biased and Unfair

NASAA Calls on FINRA, SEC to Improve the Integrity of Securities Arbitration System by Removing Mandatory Industry Representative from Arbitration…

Senior Issues

NASAA SENIOR RESOURCES NASAA and its members have been in the forefront in detecting the problem of senior investor abuse…