Credentials of “senior specialists” may be suspect
The North American Securities Administrators Association Inc. today announced plans to host a public forum to explore possible market manipulation through naked short selling activity.Naked short selling refers to a stock transaction in which the seller agrees to sell shares of stock that he or she neither owns nor has borrowed in time to make […]
Check out any claims before writing cheque
Fake regulators based in U.S. targeting overseas investors
Widmann urges industry, regulators to focus priorities to help investors regain confidence
Regulators propose best practices to help advisors develop compliance practices and procedures
Comment period open for 30 days
NASAA president addresses U.S. Senate Banking Committee
NASAA wants fees to be replaced by minimum holding periods
Lambiase succeeds Bruenn