Search Results for: investor bill of rights

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 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…

NASAA Identifies Threats to Senior Investors in Senate Testimony

State Securities Regulators Outline Initiatives to Protect Seniors from Investment Fraud WASHINGTON, D.C. (March 29, 2006) -- The North American Securities…

Senior Issues

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

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…

State Securities Regulators Remind Investors That Scams Often Hide Behind the Headlines

WASHINGTON, D.C. (January 28, 2008) - State securities regulators today reminded investors not to allow recent negative economic news and…

State Securities Regulators Announce Settlement with Credit Suisse Securities in Auction Rate Securities Investigation

WASHINGTON, D.C. September 16, 2008 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…

Securities Regulators Announce Settlement with UBS in Auction Rate Securities Investigation

WASHINGTON, D.C. August 11, 2008 — Karen Tyler, President of the North American Securities Administrators Association (NASAA), announced today that…

Securities Regulators Announce Settlement with Citigroup in Auction Rate Securities Investigation

WASHINGTON, D.C. August 7, 2008— North American Securities Administrators Association (NASAA) President Karen Tyler, Texas Securities Commissioner Denise Voigt Crawford,…

Informed Investor Advisory: What You Need to Know about Crypto ETFs

Are you an informed investor? What You Need to Know about Crypto ETFs Since the first Crypto Exchange-Traded Funds (ETFs)…