Search Results for: investor bill of rights

Voting Rights

NASAA files amicus brief in Tellabs, Inc. v. Makor Issues & Rights, Ltd., arguing that plaintiffs in a securities fraud action should not be subjected to an overly burdensome pleading standard for scienter under the Private Securities Litigation Reform Act of 1995.

NASAA Comment Letter to the Department of Labor Regarding RIN 1210-AC03, Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights

NASAA amicus brief regarding the impact of Jarkesy in Delaware, a public rights jury exception, and pre-colonial English law.

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 Podcast Archive

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

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…