Company: North American Securities Administrators Association

199 results found

U.S. broker-dealers reported nearly 2,300 cases of suspected senior-related fraud or exploitation to authorities in 2015

Regulators and industry will discuss how small- and mid-sized investment firms can protect critical client information

The legislation would weaken reforms put in place by the Dodd-Frank Act in response to the financial crisis

State regulators lobby for establishing a fiduciary duty standard

An agreement between U.S. state and federal securities regulators intends to ensure crowdfunding exemptions are enabling access to capital

New program targets workplaces in Canada and the U.S.

State regulators have published a proposed policy on the use of electronic offerings, and electronic signatures

For first time, report shows more actions brought against registered securities industry members than non-registered individuals

Cybersecurity, enforcement and seniors are top priorities for the year ahead

Publication aims to help protect senior clients from the adverse consequences of financial exploitation and diminished capacity