NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
NASAA Releases Snapshot of State Advisor Landscape, Including Top Exam Infractions
By Melanie WaddellAt public policy event, NASAA President Joe Borg shares his views on cyber, cryptocurrencies, fintech and other hot topics.
September 27, 2017
Alabama Securities Director Borg Steps Up as NASAA PresidentAs he starts his one-year term, Joseph Borg notes growing BD interest in the NASAA Model Fee Disclosure Schedule.
August 21, 2017
Senior Financial Fraud Is on the Rise: NASAAThree in 10 state securities regulators have seen an increase in cases or complaints involving senior financial fraud or exploitation.
July 05, 2017
Cybersecurity Requires a Collaborative ApproachNews headlines remind us that cyberattacks are among our greatest global threats. That's why cybersecurity requires collaboration between industry and regulators.
June 23, 2017
NASAA Mulls Model Cybersecurity Rule for Investment AdvisorsNASAA is also developing cyber guidance and a checklist for small advisory firms to assess their cyber preparedness.
November 15, 2016
Advisors beware: Securities regulators ramp up enforcementFinancial advisors who adopt an 'it wont happen to me' posture when it comes to getting caught violating state (or federal) regulations need to watch out.
November 15, 2016
Advisors beware: Securities regulators ramp up enforcementFinancial advisors who adopt an 'it wont happen to me' posture when it comes to getting caught violating state (or federal) regulations need to watch out.
September 16, 2016
Registered Advisors Hit by More State Enforcement Actions in 2015: NASAA SurveyNASAAs just-released enforcement survey notes high percentage of frauds were perpetrated in 2015 through the internet and via CPAs and lawyers.