Search Results for: investor bill of rights

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…

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…

State Securities Regulators Offer Tips to Help Investors Avoid Dishonest Investment Professionals

WASHINGTON, D.C. (December 16, 2008) – The North American Securities Administrators Association (NASAA) today offered investors a series of tips…

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…

State Securities Regulators Issue Senior Investor Alert

NASAA says retirees and those nearing retirement remain vulnerable as they manage a lifetime of savings WASHINGTON, D.C. (September 10, 2007)…

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,…