Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
North American Securities Administrators Assoc. (NASAA) (50)
Your search for North American Securities Administrators Assoc. (NASAA) returned 50 results.
Sorted by Date

5/23/2019 | Content area: Investment Adviser
Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s juris...
5/23/2019 | Content area: Investment Adviser
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered I...
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...
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...
2/17/2017 | 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...
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 ...
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...
4/14/2015 | Content area: Investment Adviser | Broker-Dealer
NASAA and the SEC have a long history of working together to provide a robust regulatory environment for businesses to grow and to protect the investo...
11/05/2014 | Content area: Investment Adviser | Broker-Dealer
There was a “significant” rise in the number of enforcement actions initiated by state securities regulators against licensed broker-dealer sales agen...
9/17/2014 | Content area: Investment Adviser
The new president of the North American Securities Administrators Association began his one-year term last week and simultaneously announced action on...
9/15/2014 | Content area: Investment Adviser
State-registered investment advisers still have work to do when it comes to cybersecurity practices, reveals a new survey from the North American Secu...
11/04/2013 | Content area: Investment Adviser
The movement of some 2,100 RIAs to state registration explains a 27% increase in licenses withdrawn due to state enforcement actions, according to NAS...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US