NASAA Scammers Offer Tricks, Not Treats -
NASAA Scammers Offer Tricks, Not Treats -| NASAA
The post Compliance Matters: Custody Awareness & Concerns appeared first on NASAA.| NASAA
The post Compliance Matters: Investment Advisers Offering Private Placements May Need to Register as Broker-Dealers appeared first on NASAA.| NASAA
The post Compliance Matters: Using AI: Risks and Compliance Considerations appeared first on NASAA.| NASAA
The post Compliance Matters: Best Practices for Investment Advisory Contract Terms appeared first on NASAA.| NASAA
The post NASAA amicus brief regarding the impact of Jarkesy in Delaware, a public rights jury exception, and pre-colonial English law. appeared first on NASAA.| NASAA
NASAA today announced that the U.S. District Court for the Central District of California has entered a final judgment imposing approximately $25.6 million in restitution and an equal civil monetary penalty against Safeguard Metals LLC and its owner, Jeffrey Ikahn, for operating a fraudulent scheme targeting elderly and retirement-aged individuals. The post States and CFTC Secure Final Judgment Against Precious Metals Firm that Defrauded Elderly Adults appeared first on NASAA.| NASAA
NASAA NASAA Releases 2025 Enforcement Report -| NASAA
Twenty-eight academic leaders in securities and financial regulation are calling on Congress to reject provisions in the Responsible Financial Innovation Act of 2025 (RFIA) that would undermine the ability of state securities regulators to protect investors and combat fraud. The post Academic Leaders and Scholars Call on Congress to Keep States Essential Investor Protectors appeared first on NASAA.| NASAA
The post NASAA Letter to Congress Highlighting Call by Academic Leaders to Preserve State Securities Authority appeared first on NASAA.| NASAA
NASAA NASAA Releases Annual Report on State-Registered Investment Advisers -| NASAA
North American Securities Administrators Association - NASAA| NASAA
NASAA NASAA Seeks Public Comment on Proposed NASAA Model Franchise Broker Registration Act -| NASAA
