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Regulation and Compliance > State Regulation & Compliance

North American Securities Administrators Association (NASAA)

Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.

Webcasts

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Top 8 News Stories of the Week
SEC, NASAA Issue Alerts on ESG Investing
NASAA Adopts Rule on CE Credits for Investment Advisors
NASAA Seeks More CE Course Feedback, Adopts Whistleblower Act
NASAA Proposes CE Requirement for Investment Advisor Reps

Podcasts

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NASAA Names an SEC Veteran as General Counsel
'Be Wary of Bond Ratings': NASAA
Creator of NJ Fiduciary Rule Takes NASAA Helm
Cybersecurity Infractions on the Rise Among Advisors: NASAA
New Hampshire Is Latest State to Enact Bill to Protect Seniors