Search Results for: investor bill of rights

Consolidation of NASD and the Regulatory Functions of the NYSE

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

NASAA Testimony on H.R. 10 – The Financial Services Competition Act of 1997

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

Informed Investor Advisory: Private Placement Offerings

Are you an informed investor? Private Placement Offerings The COVID-19 pandemic has caused significant disruption and anxiety to individuals and…

Shopping Smart and Avoiding Scams: Financial Literacy During the Holiday Season

Testimony of Karen Tyler Commissioner, North Dakota Securities Department and President, North American Securities Administrators Association, Inc. Before the United…

NASAA President Heath Abshure’s Keynote Address at SIFMA Compliance and Legal Society Annual Meeting

March 19, 2013Scottsdale, Arizona Good morning, my name is Heath Abshure. I am the Arkansas Securities Commissioner, and the President…

NASAA President Heath Abshure's Keynote Address at SIFMA Compliance and Legal Society Annual Meeting

March 19, 2013Scottsdale, Arizona Good morning, my name is Heath Abshure. I am the Arkansas Securities Commissioner, and the President…

Informed Investor Advisory: Pension Advance Scams

Are you an informed investor? Pension Advance Scams Retirees Beware! A pension is a type of retirement plan, usually tax-exempt, in…

2003 Presidential Speech, Connecticut Division of Securities Director Ralph Lambiase

President's Remarks Ralph Lambiase Director, Connecticut Division of Securities President, North American Securities Administrators Associaion September 16, 2003 NASAA 86th ANNUAL…

The Role of State Securities Regulators in Protecting Investors, Enforcement Overview

Testimony of Joseph P. Borg Director, Alabama Securities Commission And Chairman of the Enforcement Section of the North American Securities…

Key Topics for World Investor Week 2021: Investor Bulletin

Oct. 4, 2021 The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry…