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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.

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The State Perspective: Massey on the New Form ADV Part II

For Reform Bill, NASAA and CFA Make Last-Minute Fiduciary Bids

Warning: Scammers' 5 biggest threats to your clients

Free-lunch seminars in the spotlight ... again

Free-lunch seminars in the spotlight ... again

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Podcasts

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How to stay out of hot water

How to stay out of hot water

AARP To Help Monitor Free Lunches

AARP To Help Monitor Free Lunches

Regulators tightening use of advisor designations

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