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State Securities Regulators Issue Senior Investor Alert

NASAA says retirees and those nearing retirement remain vulnerable as they manage a lifetime of savings WASHINGTON, D.C. (September 10, 2007)…

NASAA Urges Senate Banking Committee to Stand Up for Investors by Retaining the Fiduciary Provisions of the Restoring American Financial Stability Act of 2009

WASHINGTON, D.C. (February 25, 2010) –The North American Securities Administrators Association (NASAA) today urged the Senate Banking Committee not to…

State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations

WASHINGTON, D.C. December 29, 2009 — The North American Securities Administrators Association (NASAA) today announced that a settlement in principle…

NASAA Legislative Agenda for the 117th Congress Principle Four

PRINCIPLE FOUR:Congress should vigorously exercise its oversight authority on behalf of the investing public – including, and especially, retail investors.Congress…

NASAA Warns Investors to Watch for Holiday Investment Fraud

State Securities Regulators Offer Tips and Resolutions for Safe Investing WASHINGTON, D.C., December 13, 2007 – The North American Securities…
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