Search Results for: investor bill of rights

State Securities Regulators Release Top 10 Scams, Schemes & Scandals

Mutual Fund Practices, Senior Investment Fraud, Variable Annuities Join 2004 List WASHINGTON (January 14, 2004) – State securities regulators today…

Laws Provide Con Artists with Personal Economic Growth Plan

NASAA Identifies Emerging and Persistent Investor Threats WASHINGTON (August 21, 2012) – The North American Securities Administrators Association (NASAA) today…

NASAA Testimony at Joint Hearing on Ways to Increase Retirement Savings

Written Statement of Denise Voigt Crawford President, North American Securities Administrators’ Association, Inc. Commissioner, Texas Securities Board Submitted to the…

NASAA Podcast Archive

The Alert Investor Welcome to The Alert Investor, a series of podcasts produced by NASAA to provide investors with investor…

The JOBS Act at Four: Examining Its Impact and Proposals to Further Enhance Capital Formation

Written Testimony of William Beatty Washington Securities Division Director and Past-President of the North American Securities Administrators Association, Inc. House…

“Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement”

Written Testimony of Joseph P. Borg President, North American Securities Administrators Association, Inc. and Director, Alabama Securities Commission Before the…

NASAA Investor Bulletin: Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023

Oct. 2, 2023 The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity…

NASAA unveils legislative agenda that “puts investors first”

Investors need more information, education, protection: state regulators WASHINGTON (December 23, 2002)– Investors need more information, more education and more…

Self-Directed IRAs and the Risk of Fraud

SEPTEMBER 28, 2011 -- The SEC's Office of Investor Education and Advocacy (OIEA) and the North…

NASAA Testimony on H.R. 1053, the Common Cents Stock Pricing Act of 1997

Testimony of Mark J. Griffin Director, Utah Securities Division President, North American Securities Administrators Association Before the SUBCOMMITTEE ON FINANCE…