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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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‘Big Switch’ RIAs Now Regulated by States Exhibit Similar Deficiencies on Exams: NASAA
Supreme Court Backs Mandatory Arbitration; NASAA Calls for Action
State regulators to hike exam fees for Series 63, 65 and 66
State regulators to hike exam fees for Series 63, 65 and 66
State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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NASAA Sounds Alarm on Private Placement Offerings
2013: The Road Ahead
NASAA Fires Off Warning as Crowdfunding Accelerates
NASAA to advisors: Help seniors avoid investment traps
BDs’ Top 5 Biggest Compliance Failures: NASAA