Search Results for: investor bill of rights

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…

2025 NASAA Presidential Address: Marni Rock Gibson, Commissioner and Securities Administrator of the Kentucky Department of Financial Institutions

2025 NASAA President Marni Rock Gibson Presidential Address to NASAA MembershipSeptember 9, 2025NASAA 2025 Fall Annual MeetingScottsdale, Arizona As prepared…

$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…

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…