Potential investors urged to use caution if approached with unsolicited Sandy-related investment offers
State securities regulators levied penalties totaling US$126 million in 2011
State securities regulators and investor advocates want the SEC to back away from plans to allow the mass marketing of exempt market offerings
Arkansas’ Abshure begins one-year term
Initiative will provide investor education resources to aboriginal populations in the United States and Canada
State securities regulators offer recommended best practices
NASAA releases its annual list of financial products and practices that imperil unwary investors
Firms advised to wait until the SEC’s crowdfunding rules are finalized before offering shares for sale to the public
Costs from a new self-regulatory organization for investment advisors could force many small firms to close
Regulators concerned that shady promoters will use exemption to fleece investors
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