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.
State regulators eye senior abuse issues
State securities regulators are paying close attention to the sale of investment products to seniors and other potentially vulnerable customers.
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.
NASAA Warns on Fake Facebook Friends, Offers Ways to Protect Self
Social networks are a prime breeding ground for con artists looking to defraud investors, warns the NASAA. Here are the red flags to spot them, and tips on protecting against them.
NASAA updates investment advisor best practices
The North American Securities Administrators Association has issued an updated set of best practices to help investment advisors stay in compliance.NASAA President and North Dakota Securities Commissioner Karen Tyler said the best practices were