Texas Securities Commissioner John Morgan said state securities regulators are “extremely concerned” about the impact the legislation would have on state-registered investment ...
The top 10 financial products and practices that threaten to trap unwary investors, compiled by the securities regulators in NASAA’s Enforcement Section.
State and provincial securities regulators have a long tradition of protecting investors through financial education. NASAA and its members provide a variety of online investor education resources for investors of all ages, from youth to seniors, designed to help investors avoid scams and frauds and invest with confidence.
NASAA actively advocates for the pro-investor policy positions of state and provincial securities regulators through testimony, comment letters and other congressional correspondence. NASAA’s legislative activity is geared toward ensuring state and provincial securities regulators maintain authority essential to keep capital markets safe for all investors.
NASAA welcomes the opportunity to continue to work with our regulatory counterparts to collectively use our resources to protect investors. Through statements of policy, model rules, joint enforcement actions and more, NASAA supports the work of state and provincial securities regulators to ensure safe capital markets for investors.
NASAA offers a variety of resources for the regulatory community and securities industry professionals, including broker-dealers and investment advisers. Access information about registration, examination, and licensing requirements for broker-dealers and investment advisers, as well as information on continuing education opportunities.
The NASAA Newsroom offers a variety of resources to the media, including news releases, speeches, backgrounders and other resources to help reporters understand how state securities regulators protect investors from investment fraud.
