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Search Results for: investor bill of rights

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…

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 Investor Alert: Self-Directed IRAs and the Risk of Fraud

February 7, 2023 The North American Securities Administrators Association (NASAA), the SEC’s Office of Investor Education and Advocacy, and the…

Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight

Testimony of Steven D. Irwin Pennsylvania Securities Commissioner and Chairman, Federal Legislation Committee North American Securities Administrators Association, Inc. Before…




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