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
Yield-starved investors cautioned to beware of risky or fraudulent investments promising higher yields
Initiative provides investment advisors registering in multiple states with an easier way to navigate the switch to state registration
Requests to submit personal account information and money are red flags of investment fraud
2010 enforcement actions resulted in US$14.1 billion ordered returned to investors
Current fragmented standards fail to protect investors