Search Results for: investor bill of rights

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…

Rise of Fintech Raises New Concerns for Securities Regulators

Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors WASHINGTON, D.C.…

NASAA Reminds Investors to Beware of Con Artists Looking to Profit from Fear and Uncertainty

WASHINGTON, D.C. (February 28, 2020) — In light of the ongoing developments related to the current coronavirus (COVID-19) situation, and…

S. 1551: The Liability for Aiding and Abetting Securities Violations Act of 2009

Testimony of Tanya Solov Director, Illinois Securities Department Illinois Secretary of State On behalf of the North American Securities Administrators…

Informed Investor Advisory: HYIPs

Are you an informed investor? High-Yield Investment Programs Don't Get Roped In What are HYIPs? Have you ever seen an…

NASAA Urges Conference Committee on Financial Reform to Make the Right Choices for Investors

House Fiduciary Standard Provides Strong Investor Protection WASHINGTON, D.C. (June 15, 2010) – The North American Securities Administrators Association today…

NASAA Warns Investors to Watch for Sandy Scams

WASHINGTON (October 31, 2012) – Following the widespread destruction caused by Hurricane Sandy along the Eastern seaboard, the North American…

California Gov. Schwarzenegger Signs Senior Investor Protection Legislation Into Law

California and Alabama Join Growing Number of States to Adopt Provisions Based on NASAA Model Rule on the Use of…

Martin Frankel case: A phone call could’ve saved billions, note state securities cops

Computer database, available to the public, contains work, disciplinary records on 600,000 stockbrokers WASHINGTON (June 24, 1999)– One phone call…

NASAA Releases Guide to Practices and Procedures for Protecting Senior Investors and Vulnerable Adults from Financial Exploitation

WASHINGTON (September 12, 2016) — The North American Securities Administrators Association (NASAA) today released a guide to assist broker-dealer and…