Company: North American Securities Administrators Association

203 results found
fising hooks

NASAA survey on investor threats finds digital asset schemes top the list

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

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

Stock trading, people, business concept.

Local regulators opened thousands of investigations, handed down millions in sanctions

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

Model rules allow brokers to use continuing education to maintain status

Two businesswoman using virtual reality glasses at new office to enter the metaverse stock photo

Regulators warn investors against advice, investments pitched in virtual worlds

Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions

Pile of cryptocurrency coins

Increased regulation may raise compliance costs but attract more investors, Fitch says

Dogecoin

BlockFi agreed to a US$100-million penalty and to seek registration