Search Results for: investor bill of rights

NASAA Offers Pro-Investor Legislative Agenda

Agenda Outlines How 111th Congress Can Help Protect Investors WASHINGTON, D.C. January 29, 2009 – State securities regulators today called…

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…

NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen

Legislation Remains Fundamentally Flawed Product of Rush to Legislate WASHINGTON (March 22, 2012) – Congress and the White House have…

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 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…

State Securities Regulators Announce Hotline and Website for E*Trade ARS Investors

WASHINGTON, D.C. January 18, 2012 — The North American Securities Administrators Association (NASAA) today announced that a toll-free hotline and…

NASAA Urges SEC to Put Investors First in Dodd-Frank Fiduciary Study

WASHINGTON (August 31, 2010) – As the debate over financial reform shifts from Congress to regulatory agencies, the North American…

Online Tool Helps Investors with Selecting a Financial Advisor

FOR IMMEDIATE RELEASE: Jan. 3, 2018 CONTACTS: Mark Bagley, 202-434-2560, mbagley@aarp.org, @AARPMedia Bob Webster, 202-737-0900, bw@nasaa.org, @NASAA_News .................... WASHINGTON,…

NASAA Urges SEC Not to Move Forward with Proposal to Expand Access to High-Risk Private Offerings Without Added Protections

WASHINGTON, D.C. (March 17, 2020) — State securities regulators are urging the Securities and Exchange Commission (SEC) not to move…