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Examinations Enforcement: States

FINRA rules limit offering and organization expenses
“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated series of enforcement actions by ...
The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report snapshot of the state-registered investment ...
For the first time since it has collected enforcement data, NASAA announced Sept. 13 in its 2016 enforcement report that more registered members of the ...
There is still room for improvement when it comes to best serving senior investors.  That’s the preliminary conclusion drawn from NASAA’s coordinated examinations of some ...
The falsification of invoices in a bid to make it look like a broker-dealer’s net capital figures reported on FOCUS reports were accurate has led ...
Books and records issues continue to plague state-registered investment advisers. The problems account for more than twice as many deficiencies found by state examiners as ...
FINRA fines meted out to broker-dealers and associated persons during the first half of this year have significantly decreased compared with 2014, which was a ...
You can add another idea to the ever-growing heap of alternatives offered to address the SEC’s resource constraints limiting the number of investment adviser exams. ...
There was a “significant” rise in the number of enforcement actions initiated by state securities regulators against licensed broker-dealer sales agents last year. In its ...
The NASAA has released preliminary findings from its annual enforcement survey. The highlight: cases stemming from state securities regulators in 2013 resulted in 33% higher ...
It was a busy year for state enforcers. According to NASAA's 2010 Enforcement Report, more than $12 billion was returned to aggrieved investors (a 200% ...
This is NASAA's guide to state contacts for B-D and RIA registration and exams, dated September 2010.
This is a compilation of state rules for reporting elder abuse. Gary Gushard, an attorney with Tucker Arensberg in Pittsburgh, compiled this list.
As Congress contemplates moving thousands of RIAs from SEC registration to the states, we'll occasionally give you updates on what's happening on the state level ...
Reports indicate RIA Pacific Corporate Group of La Jolla, Calif., helped steer California Public Employees' Retirement System (CalPERS) toward investing in two private equity funds ...
Two investors in their 60s are seeking big money from their investment adviser, who they claim breached its fiduciary responsibility by keeping the retired couple ...
The federal government seriously underestimates the price tag it would take to adequately regulate the financial services industry, which some think almost guarantees an SRO ...
IA Week has obtained court documents from a Massachusetts case that reveal Ruth Madoff, wife of disgraced adviser Bernard Madoff, received $15.5 million from a ...
Copy of Massachusetts complaint against Cohmad Securities, a firm partly owned by Bernard Madoff.
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