Search Results for: top 10 scams

NASAA Testimony on Enhancing Investor Protection and the Regulation of Securities Markets

Testimony of Fred J. Joseph Colorado Securities Commissioner and President North American Securities Administrators Association, Inc. Before the United States…

Federal and State Enforcement of Financial Consumer and Investor Protection Laws

Testimony of James B. Ropp Commissioner, Delaware Division of Securities and Chair of the Enforcement Section North American Securities Administrators…

Improving Financial Literacy

Committee on Financial Services Subcommittee on Financial Institutions and Consumer Credit "Improving Financial Literacy: Working Together to Develop Private Sector…

Financial Services Regulatory Relief Legislation

Written Statement of the North American Securities Administrators Association to the Senate Committee on Banking, Housing and Urban Affairs Regarding…

H.R. 3505 – The Financial Services Regulatory Relief Act of 2005

Written Statement of the North American Securities Administrators Association To The Financial Institutions and Consumer Credit Subcommittee House Committee on…

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…

The FTC’s Franchise Rule: Twenty-Three Years After Its Promulgation

Prepared Statement of Dale E. Cantone Deputy Securities Commissioner and Chief of the Franchise and Business Opportunities Unit of the…

Penalties for White Collar Offenses: Are We Really Getting Tough on Crime?

Testimony of Bradley W. Skolnik Indiana Securities Commissioner Chairman, Enforcement Section Before the Crime and Drugs Subcommittee Senate Judiciary Committee…

Organized Crime on Wall Street

Testimony of Bradley W. Skolnik Indiana Securities Commissioner and NASAA President Before the House Commerce Committee Subcommittee on Finance and…

NASAA Testimony Before the New York Attorney General Regarding Micro-Cap Fraud

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