Search Results for: investor bill of rights

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…

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…

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…

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…