Search Results for: investor bill of rights

Investor Education

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

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…

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…

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…

NASAA Members to Champion Investor Protection on Capitol Hill

WASHINGTON, D.C. – (April 19, 2023) – The North American Securities Administrators Association’s (NASAA) will host its annual “Hill Day”…

NASAA Warns Investors to Watch for Holiday Investment Fraud

State Securities Regulators Offer Tips and Resolutions for Safe Investing WASHINGTON, D.C., December 13, 2007 – The North American Securities…

Protecting Investors: Why the Howey Test Matters

About the Howey TestThe Howey Test is a critical safeguard for investors, ensuring that financial products—whether traditional stocks or emerging…

Advising Seniors About Their Money: Who Is Qualified?

Testimony of Joseph P. Borg Director, Alabama Securities Commission and President North American Securities Administrators Association, Inc. Before the Special…

The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

Written Statement of the North American Securities Administrators Association U.S. Senate Committee on Homeland Security and Governmental Affairs Subcommittee on…