Search Results for: fraud

Investor Education Resources for Adults and Families

Investigate Before You Invest Building a secure financial future for yourself and your family requires the tools to develop an…

Sandwich Generation: Common Investment Scams

Each year, investors are targeted with a variety of misleading sales tactics, or worse, outright fraud. Investors also have to…

NASAA Highlights Top Investor Threats for 2023

Scammers Use Technology and Play on Emotions to Target Retail Investors WASHINGTON, D.C. (April 20, 2023) – The North American…

NASAA VIDEOS

GET IN THE KNOW NASAA's Get in the Know series of 3-5 minute videos walks viewers through complex investment topic…

NASAA Warns of Potential Dangers of Crowdfunding Investment Opportunities

WASHINGTON, D.C. (May 15, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory warning investors to…

NASAA Releases Annual Enforcement Report

WASHINGTON, D.C. (September 29, 2021) – The North American Securities Administrators Association (NASAA) today released its annual enforcement report, which…

Top Investor Threats

NASAA Top Investor Threats The following list of the top financial products and practices that threaten to trap unwary investors…

2017 Presidential Address: Joseph P. Borg, Alabama Securities Commission Director

September 26, 2017 NASAA Annual Conference Seattle, Washington Thank you Mike for your generous introduction and for all you’ve accomplished…

Investment Adviser Guide

A BRIEF OVERVIEW:THE INVESTMENT ADVISER INDUSTRYThe following information is intended to be a brief overview concerning the investment adviser industry.…

Remarks of NASAA President Melanie Senter Lubin at the NASAA 2022 Public Policy Symposium

May 17, 2022 NASAA 2022 Public Policy Symposium Washington, D.C. Presidential Address Thank you, Karima. We appreciate the kind welcome…