Search Results for: investor bill of rights

Remarks of NASAA President Christopher Gerold to the SEC Investor Advisory Committee

Written Remarks of NASAA President Christopher W. GeroldSEC Investor Advisory Committee MeetingApril 2, 2020Introduction:Good Afternoon. I’m Christopher Gerold, Chief of…

Informed Investor Advisory: Investment Professional Disclosure Forms – What Should Investors Look For?

Are you an informed investor? Investment Professional Disclosure Forms – What Should Investors Look For? Investment professionals in the United…

New NASAA Initiative Focuses on Senior Investor Issues

Committee Reflects Long-Standing Role of State and Provincial Securities Regulators to Protect Senior Investors WASHINGTON, D.C. (August 19, 2014) –…

Investor and Adviser Groups Voice Opposition to Weakened Fiduciary Standard

Download: Joint Letter to SEC Chair Mary Jo White WASHINGTON (June 4, 2013) – In a letter to Securities and…

NASAA, SIPC Offer Answers to Investors Concerned About the Safety of Their Brokerage Accounts

WASHINGTON, D.C. March 25, 2008 - In the wake of recent turbulence in the financial markets, the North American Securities…

NASAA Outlines Concerns About Risks to Retail Investors from IPOs of Private Equity and Hedge Fund Firms

Full text of testimony available here. WASHINGTON, D.C. (July 11, 2007) —North American Securities Administrators Association (NASAA) President Joseph P.…

NASAA Investor Bulletin: Technology and Digital Finance: World Investor Week 2024

Oct. 7, 2024 The SEC’s Office of Investor Education and Advocacy (OIEA), the Commodity Futures Trading Commission’s (CFTC’s) Office of…

Informed Investor Alert: Derivatives

Are you an informed investor? Derivatives Derivatives are complex financial products that have generated profits for some investors, but also…

Our Role

Putting Investors First THE ROLE OF STATE SECURITIES REGULATORS For more than 100 years, state securities regulators have been protecting…

2011 Presidential Speech, Jack Herstein, Assistant Director, Nebraska Department of Banking and Finance

Jack Herstein Assistant Director, Nebraska Department of Banking & Finance Bureau of Securities President, North American Securities Administrators Association September…