Search Results for: investor bill of rights
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…Written NASAA Statement Regarding the Draft Recommendation Dated September 11, 2025, by the SEC’s Investor as Owner and Market Structure Subcommittees of the Investor Advisory Committee Regarding Retail Investor Access to Private Market Assets
September 18, 2025 NASAA appreciates the time and thought that the Subcommittees put into this recommendation and appreciates the drafters’…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…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…Informed Investor Advisory: Margin Madness
Are you an informed investor? Margin Madness Margin trading has been available through investment firms for over a century. It…
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