Company: North American Securities Administrators Association

203 results found

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

Yield-starved investors cautioned to beware of risky or fraudulent investments promising higher yields