Search Results for: investor bill of rights

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…

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…

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…

NASAA Legislative Agenda for the 117th Congress Principle Four

PRINCIPLE FOUR:Congress should vigorously exercise its oversight authority on behalf of the investing public – including, and especially, retail investors.Congress…

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 Urges Senate Banking Committee to Stand Up for Investors by Retaining the Fiduciary Provisions of the Restoring American Financial Stability Act of 2009

WASHINGTON, D.C. (February 25, 2010) –The North American Securities Administrators Association (NASAA) today urged the Senate Banking Committee not to…

$5.15 Million Available to Investors in Securities Fraud Case

WASHINGTON, DC (January 15, 2010) - The North American Securities Administrators Association (NASAA) announced today that state securities regulators are…

NASAA Investor Bulletin: Why You Should Consider Adding a Trusted Contact to Your Account

August 25, 2025 The SEC’s Office of Investor Education and Advocacy, the Financial Industry Regulatory Authority (FINRA) and the North…