State-Registered Advisors Need More Cyber Prep
State securities exams found nearly 700 deficiencies involving cybersecurity, NASAA says; the group offers a cybersecurity checklist.
Advisors beware: Securities regulators ramp up enforcement
Financial advisors who adopt an 'it won’t happen to me' posture when it comes to getting caught violating state (or federal) regulations need to watch out.
State securities enforcement grows
NASAA's 2015 enforcement actions led to more than $538 million in investor restitution.
NASAA gets new president, floats elder financial abuse rule
Like a rule proposed recently by FINRA, NASAA's plan allows BDs and advisors to delay disbursement of funds when financial exploitation against seniors is suspected.
Are you ready for the cybersecurity talk?
It’s a rare day when consumers don’t read about another cybersecurity breach afflicting a U.S. business.
Protecting grandma from elder abuse
Abuse of older investors makes up at least a third of state regulators’ enforcement actions, NASAA says. Find out remedies to the situation.
Top 9 investor threats for 2015: NASAA
State regulators release their annual list of emerging as well as persistent threats facing investors in the coming year.
Actions against BD agents, unlicensed individuals jumped in ’13: NASAA
While actions against BD firms decreased, actions against licensed advisor reps jumped.
Why the SEC Must Revise Its Proposed Reg A Rule
The SEC wants to transform Regulation A offerings into covered securities, which by law are not subject to state review. That's not what Congress intended.
Beware of Fraud in Self-Directed IRAs: SEC, NASAA
The SEC’s Office of Investor Education and Advocacy and NASAA issued an Investor Alert warning investors of the potential risks associated with investing through self-directed IRAs.