Search Results for: investor bill of rights

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…

Investor Education

INVESTOR EDUCATION State and provincial securities regulators have a long tradition of protecting investors through financial education. Investing means putting…

Andrea Seidt to Become NASAA’s Representative on the SEC Investor Advisory Committee

WASHINGTON, D.C. – (September 12, 2024) – The North American Securities Administrators Association (NASAA) is pleased to announce that Andrea…

NASAA President David S. Massey Testifies

July 12, 2011 NASAA President Identifies Enhancements to Investor Protection Since Passage of the Dodd-Frank Act Full Testimony WASHINGTON (July…

Working Group Develops Model Fee Disclosure Schedule

New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees Download > Report on Accessibility and Standardization of…

NASAA Issues Top Five List of Investments to be Wary About

Don’t let low rates push you into bad investments, state regulators warn WASHINGTON (October 1, 2001) – With Tuesday’s interest…

State Securities Regulators Observe 100 Years of Investor Protection

March Marks Centennial for State Securities Regulation WASHINGTON, D.C. (March 10, 2011) – State securities regulators throughout the United States…

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…

Wisconsin Securities Regulator Appointed to SEC Investor Advisory Committee

WASHINGTON, D.C. (December 3, 2020) – The North American Securities Administrators Association (NASAA) announced today that veteran Wisconsin securities regulator…

President’s Remarks, 2001 SIA Small Firms Conference

Joseph Borg Director, Alabama Securities Commission President, North American Securities Administrators Association October 12, 2001 SIA Small Firms Conference Ft. Lauderdale, Florida…