Andrea Seidt says the North American Securities Administrators Association will continue to focus on “smarter regulation”
Switch to hosting by CGI postponed until Dec. 2
Investment funds must apply the changes for financial years beginning on or after Jan. 1, 2014
State and provincial regulators speak out on a U.S. Supreme Court decision enforcing mandatory arbitration
Oil and gas investments are increasingly attractive to both investors and con artists
States urge SEC to halt forced investor arbitrations
NASAA reminds investors about the different types of financial advisors in the U.S.
Investor advisory released ahead of rule changes to U.S. exempt market
State regulators publish Congressional advocacy agenda
Regulators watch for signs of investment fraud
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