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Company: North American Securities Administrators Association

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North American task force tackles pandemic scams

NASAA reports that regulators have uncovered 262 Covid-19 schemes

Covid-19 is new, but crisis-based scams are not

FINRA, NASAA warn investors about pandemic-driven investment frauds

CFTC, states allege massive fraud duped seniors

U.S. regulators bring landmark joint enforcement action

State regulators step up enforcement

NASAA reports rise in regulatory investigations, actions

Will best interest standards work?

NASAA launches initiative to assess effects of new SEC conduct rules

Expanding enforcement bounties

Regulators adopt model act for tipster reward programs

NASAA task force cracking down on Covid-related fraud

The umbrella group for North American securities regulators has identified 244 scams

  • By: IE Staff
  • August 21, 2020 August 21, 2020
  • 13:15

How are firms dealing with cognitive decline in advisor ranks?

NASAA examines industry response to advisors with cognitive issues

Helping out harmed investors

NASAA aids states in developing victim assistance funds

Metal handcuffs placed over the word fraud

Market volatility, social isolation driving Covid-19 fraud: NASAA

U.S. state regulators seek Congressional support in fight against fraudsters