Search Results for: investor bill of rights

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…

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 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…

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…