Search Results for: investor bill of rights

$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…

NASAA, SIFMA, and SIPC Join to Promote Investor Education With Updated “Understanding Your Brokerage Statement” Brochure

Free Brochure Available in English and Spanish WASHINGTON, D.C. (March 7, 2007) – The Securities Industry and Financial Markets Association…

Legislative Agenda Summary

Executive Summary To help Main Street investors and the nation recover from the recession and financial crisis, NASAA urges the…

NASAA Announces Current and Emerging Investor Threats

Promissory Notes, Real Estate Investments and Ponzi Schemes Top the List Cryptocurrency Contracts for Differences (CFDs) Identified as an Emerging…

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…

State Securities Regulators Remind Auction Rate Securities Investors to Contact Firms About Buyback Offers

WASHINGTON, D.C. November 10, 2008 — As state securities regulators continue their efforts to provide relief to investors who have…

State Securities Regulators Announce Settlement with Bank of America and RBC Capital Markets Corp. in Auction Rate Securities Investigations

WASHINGTON, D.C. October 8, 2008 — The North American Securities Administrators Association (NASAA) today announced that Bank of America Securities…

Informed Investor Advisory: Promissory Notes

Are you an informed investor? Promissory Notes Promissory note schemes are a leading source of investor complaints. Unscrupulous individuals sell…

Securities Regulators Announce Settlement With Wachovia Over Sale of Auction Rate Securities

WASHINGTON, D.C. August 15, 2008 — Karen Tyler, President of the North American Securities Administrators Association (NASAA), today announced that…