Search Results for: investor bill of rights

Longer stock trading hours mustn’t shorten investors’ time horizons, state securities regulators warn

WASHINGTON (June 30, 1999) – Longer stock trading hours must not encourage Main Street investors to shorten their investment time…

Informed Investor Advisory: Unicorns

Are you an informed investor? Are Unicorns a Myth? Unicorns are not just the stuff of fairy tales; some financial…

NASAA Advises Investors to Beware of Hurricane-related Scams

WASHINGTON (September 1, 2005) —In the wake of widespread devastation caused by Hurricane Katrina in Louisiana, Mississippi, Alabama, and Florida,…

2017 Presidential Address: Joseph P. Borg, Alabama Securities Commission Director

September 26, 2017 NASAA Annual Conference Seattle, Washington Thank you Mike for your generous introduction and for all you’ve accomplished…

NASAA Urges SEC Not to Move Forward with Proposal to Expand Access to High-Risk Private Offerings Without Added Protections

WASHINGTON, D.C. (March 17, 2020) — State securities regulators are urging the Securities and Exchange Commission (SEC) not to move…

State Securities Regulators Urge Congress to Resist Pressure to Weaken Investor Protections in Reform Proposals

WASHINGTON, D.C. December 4, 2009 – The North American Securities Administrators Association (NASAA) today urged Members of Congress to resist…

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…

NASAA Cautions Investors Not to Stumble When Interest Rates Fall Flat

WASHINGTON, D.C., February 1, 2012 — Following the Federal Reserve’s announcement that interest rates are expected to remain low until…

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…

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…