Search Results for: investor bill of rights

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…

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…

2010 Presidential Speech, North Carolina Deputy Securities Administrator David Massey

President's Remarks David Massey North Carolina Deputy Securities Administrator President, North American Securities Administrators Association September 28, 2010 NASAA 93rd…

2008 Presidential Speech, Colorado Securities Commissioner Fred Joseph

President's Remarks Fred Joseph Colorado Securities Commissioner President, North American Securities Administrators Association September 17, 2008 NASAA 91st Annual Conference Las…

State Securities Regulators Release “Unlucky 13” Investor Traps

Personal Information Scams, Oil & Gas Investment Fraud, Prime Bank Schemes Seen as Greatest Potential Threats to Investors in 2006…

Informed Investor Advisory: Opportunity Zone Investments

Are you an informed investor?Opportunity Zone InvestmentsOpportunity zones encourage longer-term investments in low-income U.S. communities by providing certain tax benefits…

FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection

WASHINGTON, D.C. (September 28, 2021) – In a combined effort to provide additional protection for investors, FINRA and the North…

The Securities Fraud Deterrence and Investor Restitution Act of 2003 (H.R. 2179)

Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Subcommittee on Capital Markets, Insurance and Government…

Investor Bulletin: Investor Resilience – World Investor Week 2022

Oct. 3, 2022 For World Investor Week 2022, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make…