NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
Edward Jones to Pay $17M Over Front-Load Commissions
By Melanie WaddellThe firm charged some clients when moving A shares from brokerage to advisory accounts, 14 state regulators found.
September 25, 2023
NASAA Releases New Study Guides for Qualification ExamsThe materials aim to help financial professionals navigate the Series 63, 65 and 66 licensing exams, the group says.
August 30, 2023
NASAA to Allow 5-Year Breaks for Brokers, IARsEligible individuals can maintain their Series 63 license; a similar extension is planned for the Series 65.
April 17, 2023
NASAA Clears Way for 5-Year Breaks From Industry, Adds GuamStates can now permit IARs to leave the industry for up to five years while maintaining qualifications.
March 17, 2023
NASAA Lowers Passing Score for Series 65 ExamContent of the Series 63, 65 and 66 exams will also be updated; the changes take effect in June.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
January 09, 2023
NASAA Plans 2023 Push for Bad Actors DatabaseState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
October 07, 2022
Get Ready: FINRA's New CE Rules Start in JanuaryThe regulatory element will now be an annual requirement — and will likely zero in on Reg BI.