Search Results for: top 10 scams

SEC and NASAA Launch Program to Protect Senior Investors

Joint Initiative Includes Aggressive Enforcement, Targeted Examinations, and Investor Education and Outreach Programs Washington, D.C. (May 8, 2006) – Securities and…

NASAA Identifies Threats to Senior Investors in Senate Testimony

State Securities Regulators Outline Initiatives to Protect Seniors from Investment Fraud WASHINGTON, D.C. (March 29, 2006) -- The North American Securities…

Senate Banking Committee Examines Important Role of State Securities Regulators in Protecting Investors

WASHINGTON (June 2, 2004)—In testimony before the Senate Banking Committee, state securities regulators today highlighted the important role states play…

Securities Regulators Unveil Fraud Awareness Quiz

Washington (April 30, 2003) -- Are you at risk of becoming a victim of financial fraud? A simple quiz released…

War, terror fears could be exploited by con artists, securities regulators warn

WASHINGTON (March 28, 2003) -- With the U.S. on the brink of war with Iraq and heightened warnings of terrorism…

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…

Wall Street to Congress: Shut down states` analyst probe

NASAA President Borg calls attempt "shameful and cynical;" asks "What does the industry have to hide?" WASHINGTON (June 17, 2002)-…

State securities regulators pledge to help securities firms in recovery effort

Washington, D.C., September 20, 2001 – The North American Securities Administrators Association (NASAA) today issued the following statement pledging to…

State securities regulators issue statement on actions announced by the SEC, U.S. Attorney for the Southern District of New York and the FBI

(June 14, 2000) - As the SEC, U.S. Attorney for the Southern District of New York and the Federal Bureau…

SEC, State Securities Regulators Announce Promissory Note Enforcement Sweep

(June 1, 2000) - The U.S. Securities and Exchange Commission (SEC) and state securities regulators today announced a joint effort…