NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
Free-lunch seminars in the spotlight ... again
By National Ethics BureauFor the last few years, regulators have been targeting free-lunch seminars as potential vehicles for senior financial abuse.
December 31, 2009
How to stay out of hot waterIf you're registered as an investment advisor, you'd best pay attention to
October 15, 2008
AARP To Help Monitor Free LunchesTwo national groups have teamed up to encourage seniors to report advisors who promote unsuitable investments at "free-lunch seminars."AARP, Washington, and the North American Securities ...
June 30, 2008
Regulators tightening use of advisor designationsThe North American Securities Administrators Association has released a model rule prohibiting misleading use of designations in the sale of investment products to senior investors. The measure prohibits the use of senior-oriented designations to
April 19, 2008
Regulators warn of slippery oil and gas dealsInsurance and financial advisors should advise clients to be wary of oil-patch scams - and should promote these deals only after doing careful due diligence themselves. According to the North American Securities Administrators Association (NASAA),
April 18, 2008
Regulators warn of slippery oil and gas dealsInsurance and financial advisors should advise clients to be wary of oil-patch scams - and should promote these deals only after doing careful due diligence themselves. According to the North American Securities Administrators Association (NASAA),
April 15, 2008
NASAA updates investment advisor best practicesThe North American Securities Administrators Association has issued an updated set of best practices to help investment advisors stay in compliance.NASAA President and North Dakota Securities Commissioner Karen Tyler said the best practices were
April 14, 2008
NASAA updates investment advisor best practicesThe North American Securities Administrators Association has issued an updated set of best practices to help investment advisors stay in compliance.NASAA President and North Dakota Securities Commissioner Karen Tyler said the best practices were