Sentences with phrase «state securities regulators»

The IPT works with State Securities Regulators and other partners to bring investor education and protection programs directly to Americans in their communities through the Investor Education in Your Community ® program.

The settlement was announced on Tuesday by state securities regulators in Massachusetts and Alabama, who said the deal will also ensure that LPL buys back securities that were illegally sold to investors.

The settlement was announced on Wednesday by state securities regulators in Massachusetts and Alabama, who said the deal will also ensure that LPL buys back securities that were illegally sold to investors.

Your attorney, tax professional and entities such as state securities regulators can provide additional education about how to use self - directed IRAs to buy unregulated or regulated securities and other assets.

Inc.: State Securities Regulators Announce Settlement with Stifel, Nicolaus & Co., Inc. in Auction Rate Securities Investigations, December 29, 2009

IPT functions under the direction of a Board of Trustees which is composed of State Securities Regulators or their designees.

WASHINGTON (April 23, 2001)-- State securities regulators today released a list of the top 10 investment scams they are combating.

In 2006, the AARP Foundation and the IPT teamed up to create The Campaign for Wise and Safe Investing ®, a national and state - level partnership between AARP state offices and their local State Securities Regulators in 35 states.

® program is an investor education and protection program that brings State Securities Regulators» offices together with local public libraries to provide investor education and protection seminars to the community through the library.

In anticipation of the rules, the North American Securities Administrators Association, which represents state securities regulators, is taking steps to try to weed out possible problems lurking among thousands of nascent crowdfunding operations.

Collectively and individually, state securities regulators enforce state securities laws by investigating suspected investment fraud, and, where warranted, pursuing enforcement actions.

State securities regulators also work with issuers to ensure that securities offerings include legally required disclosures, resulting in a transparent and fluid securities market.

State securities regulators strongly share Congress's desire to continue to improve access to capital for small and emerging businesses while protecting investors.

State securities regulators appreciate bipartisan interest in modernizing privacy protections relating to information stored on internet service providers, but urge Congress not to inadvertently or unjustifiably curtail crucial investigatory authorities used by state regulators and other civil law enforcement agencies.

State securities regulators hope the SEC will preserve the «investor protection gains» from the vacated Labor rule.

In 2011, federal and state securities regulators warned investors of the potential risks associated with self - directed IRAs, saying they had noted an increase in complaints about fraudulent investment schemes that used these types of IRAs as a «key feature.»

Information on individual investment advisers is available through State Securities Regulators.

During the struggle over the Wall Street Reform act, consumer groups and state securities regulators pressed Congress to extend the fiduciary rule to everyone who gives investment advice.

State Securities Regulators Remind Auction Rate Securities Investors to Contact Firms About Buyback Offers, November 10, 2008

State Securities Regulators Coordinate Ongoing Auction - Rate Securities Investigations, April 17, 2008

Credit Suisse Securities: State Securities Regulators Announce Settlement with Credit Suisse Securities in Auction Rate Securities Investigation, September 16, 2008

IPT works with State Securities Regulators and other partners to bring investor education and protection programs directly to Americans in their communities through the Investor Education in Your Community ® program.

10.31.2012 — IPT News Release: Workplace Investor Education Thriving Under New Approach Promoted By State Securities Regulators

Mutual Fund Practices, Senior Investment Fraud, Variable Annuities Join 2004 List WASHINGTON (January 14, 2004)-- State securities regulators today forecast that investors will be challenged with increasingly complex and confusing investment frauds and identified the Top 10 schemes investors are likely to see in 2004.

The Campaign for Wise and Safe Investing ® is a national and state - level partnership between the AARP Foundation, IPT, AARP state offices and their local State Securities Regulators in 35 states.

He has served on task forces of state securities regulators to negotiate multistate settlements in cases involving Lloyd's of London, Salomon Brothers, and Drexel Burnham Lambert Group.

® program is an investor education and protection program that brings State Securities Regulators» offices together with local public libraries to provide investor education and protection seminars to the community through the library.

The Campaign for Wise and Safe Investing ® is a national and state - level partnership between the AARP Foundation, IPT, AARP state offices and their local State Securities Regulators in 35 states.

Further fueling suspicions, the company's listed address in Redland, Calif., «does not exist,» the state securities regulator said.

Currently, registered investment advisors regulated by the Securities and Exchange Commission or state securities regulators are already held to a fiduciary standard of conduct under which they must act in their clients» best interests.

Require that at least one member of the five - member SEC Commission have experience serving as a state securities regulator.

The appointment of even one SEC Commissioner with significant experience as a state securities regulator would dramatically improve coordination between state and federal securities authorities and bring a perspective informed by experiences from Main Street America where investor protection is personal and capital formation means real jobs.

IPT is collarborating with the Investor Protection Institute, State Securities Regulators and State credit union associations to provide online investor education and protection curriculum to credit union employees in participating states.

The program is a collaboration between IPI, the Investor Protection Trust, State Securities Regulators, and employers to provide online investor education and protection curriculum to employees in participating states.

The Commission is exploring ways to further collaborate with state regulators, including a program for a representative of NASAA or a state securities regulator to work with the staff in the SEC's Division of Corporation Finance in implementing these rules.

During the pilot phase of the program, State Securities Regulators» offices partnered with libraries in 20 states to offer free seminars on investment education.

You can get the address and telephone number for your state securities regulator by calling the North American Securities Administrators Association at [phone] or by visiting its website.

The «Elder Investment Fraud and Financial Exploitation Prevention Program» (EIFFE Prevention Program) educates healthcare and legal professionals to recognize when their older patients and clients may be vulnerable to or victims of financial abuse, particularly those patients with mild cognitive impairment, and then to refer these at - risk patients to State Securities Regulators, local adult protective services professionals or for further screening and assistance as needed.

All investment advisors registered with the Securities and Exchange Commission or a state securities regulator are held to this standard.

The program is a collaboration between IPT, the Investor Protection Institute, State Securities Regulators and State credit union associations to provide online investor education and protection curriculum to credit union employees in participating states.

State Securities Regulators work within the State government to protect investors and help maintain the integrity of the securities industry.

Because State Securities Regulators may be able to provide more information on prospective securities professionals than found in a BrokerCheck report, investors may want to contact their state securities regulator first.

Contact information for all State Securities Regulators may be found on the North American Securities Administrators Association (NASAA) website.

«Day - trading «seminars, promissory notes, viatical investments make ranking WASHINGTON (May 24, 1999)-- State securities regulators today released a list of the Top 10 Scams they are combating, adding pricey day - trading seminars, supposedly high - yielding promissory notes and investments in viatical settlements (interests in the life insurance policies of supposedly terminally ill people) to the second - annual -LSB-...]