Search Results for: investor bill of rights

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…

NASAA Legislative Agenda for the 117th Congress Principle Four

PRINCIPLE FOUR:Congress should vigorously exercise its oversight authority on behalf of the investing public – including, and especially, retail investors.Congress…

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…

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 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…

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,…

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…

NASAA Cautions Investors On The Rise Of The “Finfluencer”

WASHINGTON, D.C. – (August 9, 2022) – The North American Securities Administrators Association (NASAA) today issued an Informed Investor Advisory…

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…

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…