Investors should question what steps firms are taking to safeguard client information
EFD designed to improve the efficiency of the regulatory filing process for certain exempt securities offerings
NASAA says the programs are Ponzi schemes sold by unlicensed individuals
Many of the top threats facing investors involve new products in classic schemes
The majority of enforcement actions handled by state securities regulators involve unlicensed individuals
NASAA Internet fraud group identifies 184 suspicious websites
The increase in jail time reflects the increasing complexity and seriousness of the crimes regulators investigate
Incoming president to focus on the protection of senior investors
Group will work with industry and FINRA to achieve more meaningful disclosure of broker-dealer fees
Survey of U.S. firms designed to help regulators better understand the technology and data practices of investment advisors
aHR0cHM6Ly93d3cuaW52ZXN0bWVudGV4ZWN1dGl2ZS5jb20vcG9zdF9jb21wYW55L25vcnRoLWFtZXJpY2FuLXNlY3VyaXRpZXMtYWRtaW5pc3RyYXRvcnMtYXNzb2NpYXRpb24vcGFnZS8xMi8(U2NyZWVuSGVpZ2h0)NzIw(U2NyZWVuV2lkdGg)MTI4MA(T0ZTWVNfUmVmZXJyZXI)(dmlzaXRvcktleQ)bHZhYVhUVFE(dmlzaXRLZXk)dVZJb2hFRzI){kind=small}