Search Results for: fraud

NASAA Updates COVID-19 Enforcement Task Force Actions

WASHINGTON, D.C. (June 16, 2020) – The North American Securities Administrators Association (NASAA) today updated the status of the work…

The Sandwich Generation

NASAA Outreach Initiative: The Sandwich Generation Do you find yourself struggling to plan for your retirement while also helping children…

NASAA Champions Community Resources for World Elder Abuse Awareness Day

WASHINGTON, D.C. – (June 13, 2025) – In recognition of World Elder Abuse Awareness Day on June 15, the North…

Putting Investors First: Reviewing Proposals to Hold Executives Accountable

Written Testimony of Melanie Senter LubinBoard Member, North American Securities Administrators Associationand Maryland Commissioner of Securitiesto The U.S. House of…

Your Parents

Investor Self-DefenseAs a member of SandGEN, one of your responsibilities may be to protect your elderly family members and their…

NASAA Supports World Elder Abuse Awareness Day

WASHINGTON, June 15, 2015— The North American Securities Administrators Association (NASAA) today recognized World Elder Abuse Awareness Day (WEAAD) by…

The SEC’s Potential Role in Addressing Elder Financial Abuse Issues

Written Statement of Kristen StandiferLicensing and Examinations Supervisor for the Washington State Department of Financial Institutions and Chair of the…

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…

NASAA Statement On Multi-State Enforcement Action Targeting Advance Fee Scheme

WASHINGTON (September 24, 2003) -The following is a statement by Ralph A. Lambiase, President of the North American Securities Administrators…

State Securities Regulators Install New President, Board of Directors

New NASAA President Ralph A. Lambiase pledges to focus on increasing cooperation among regulators, maintaining state authority, advancing shareholders’ rights,…