Firms make token effort to raise standards, cling to suitability, NASAA finds
NASAA survey on investor threats finds digital asset schemes top the list
Firm fined for operational failures, service and supervisory issues
State regulators oppose proposals to expand private markets, erode investor protections
U.S. regulators settle with firm over unregistered product
Local regulators opened thousands of investigations, handed down millions in sanctions
Model rules allow brokers to use continuing education to maintain status
Regulators warn investors against advice, investments pitched in virtual worlds
Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions
Increased regulation may raise compliance costs but attract more investors, Fitch says
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