Search Results for: fraud

Legislative Proposals to Enhance Capital Formation for Small and Emerging Growth Companies, Part II

Written Testimony of William Beatty Washington Securities Division Director and President-Elect of the North American Securities Administrators Association, Inc. House…

NASAA Sees Sharp Spike in Crowdfunding Presence on the Internet

NASAA Task Force Monitoring Internet for Increased Signs of Fraud WASHINGTON (December 5, 2012) – Crowdfunding’s presence on the Internet…

A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

WRITTEN STATEMENT OF MIKE ROTHMAN PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION AND MINNESOTA COMMISSIONER OF COMMERCE BEFORE THE U.S. HOUSE…

Enhanced Investor Protection After the Financial Crisis

Written Testimony of David Massey NASAA President and North Carolina Deputy Securities Administrator Before the Senate Committee on Banking, Housing,…

The Importance of Financial Literacy and Education in America

Testimony of Denise Voigt Crawford Texas Securities Commissioner Before the Committee on Banking, Housing and Urban Affairs, United States Senate…

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 Leads Fight Against Elder Financial Abuse

State Securities Regulators, Physicians and Adult Protective Services Workers Launch Innovative Campaign to Curb Elder Investment Fraud and Financial Exploitation…

NASAA Releases Annual Enforcement Report

For First Time, Report Shows More Actions Brought Against Registered Securities Industry Members Download: 2016 NASAA Enforcement Report Based on…

NASAA President Andrea Seidt’s Remarks at the 2014 SIFMA Compliance and Legal Society Annual Meeting

Andrea SeidtPresident, North American Securities Administrators Association2014 SIFMA Compliance and Legal SocietyApril 1, 2014 Good morning distinguished guests and colleagues.…

EIFFE

Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program State securities regulators have joined forces with the Investor Protection Trust…