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North American Securities Administrators Assoc. (NASAA) (60)
Your search for North American Securities Administrators Assoc. (NASAA) returned 60 results.
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5/24/2018 | Content area: Investment Adviser
“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated serie...
5/10/2018 | Content area: Investment Adviser
The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report sna...
1/04/2018 | Content area: Investment Adviser
This is NASAA's checklist to help IAs with cybersecurity.
11/09/2017 | Content area: Investment Adviser
The aging of the U.S. population and the current regulatory focus on the protection of seniors have made detecting the warning signs of suspected guar...
8/24/2017 | Content area: Investment Adviser
Investment advisers and broker-dealers aren’t doing enough when it comes to protecting seniors from financial fraud, a new NASAA survey reveals. Three...
6/22/2017 | Content area: Broker-Dealer
The North American Securities Administrators Association characterized the recently released findings of a survey of the senior-related practices and ...
5/11/2017 | Content area: Broker-Dealer
NASAA’s model fee disclosure schedule is gaining wider acceptance among brokerage firms. The association announced May 9 that nine additional securiti...
5/09/2017 | Content area: Investment Adviser
As regulators, we also have a responsibility to ensure that our rules are functioning as intended and in an effective and efficient manner. We must en...
5/09/2017 | Content area: Investment Adviser
We often witness the devastation suffered by victims of securities fraud. Whether fraudsters cold-called their victims to peddle their fraudulent “in...
2/23/2017 | Content area: Broker-Dealer
Crowdfunding and the portals that bring buyers and sellers together online are gaining traction. Twenty-one funding portals have emerged to facilitate...
2/17/2017 | Content area: Investment Adviser
The amendments to Regulation D may lead to states developing regional offering exemptions so companies could raise capital from investors in a specifi...
9/15/2016 | Content area: Investment Adviser
Regulatory scrutiny and best practices suggest that you should be reviewing your firm’s P&Ps applicable to the issues and challenges that can surface ...
9/15/2016 | Content area: Investment Adviser
For the first time since it has collected enforcement data, NASAA announced Sept. 13 in its 2016 enforcement report that more registered members of th...
9/15/2016 | Content area: Broker-Dealer
There is still room for improvement when it comes to best serving senior investors.  That’s the preliminary conclusion drawn from NASAA’s coordinated ...
2/04/2016 | Content area: Investment Adviser | Broker-Dealer
NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is ...
10/08/2015 | Content area: Investment Adviser
Books and records issues continue to plague state-registered investment advisers. The problems account for more than twice as many deficiencies found ...
9/30/2015 | Content area: Broker-Dealer
Broker-dealers are being encouraged to voluntarily adopt and implement model fee disclosure and accessibility standards advanced Sept. 28 by a working...
9/24/2015 | Content area: Broker-Dealer
FINRA fines meted out to broker-dealers and associated persons during the first half of this year have significantly decreased compared with 2014, whi...
4/16/2015 | Content area: Broker-Dealer
Despite current regulatory disclosure requirements, investors are confused about the fees charged by brokerage firms to service and maintain their acc...
4/14/2015 | Content area: Investment Adviser
The key is that regulation must be smart. Dumb regulation manifests itself in a variety of ways: it puts pointless burdens on business, fails to refle...


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