NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
State Regulators Bust ICOs in 'Operation Cryptosweep'
By Melanie WaddellNASAA said the sweep was one of the largest coordinated series of enforcement actions in North America on ICOs and related cryptocurrencies.
October 30, 2017
Take Three: Borg's Back as NASAA ChiefLongtime Alabama Securities Commission Director Joe Borg is back as president of NASAA his third time filling the seat.
September 27, 2017
Alabama Securities Director Borg Steps Up as NASAA PresidentAs he starts his one-year term, Joseph Borg notes growing BD interest in the NASAA Model Fee Disclosure Schedule.
August 21, 2017
Senior Financial Fraud Is on the Rise: NASAAThree in 10 state securities regulators have seen an increase in cases or complaints involving senior financial fraud or exploitation.
July 05, 2017
Cybersecurity Requires a Collaborative ApproachNews headlines remind us that cyberattacks are among our greatest global threats. That's why cybersecurity requires collaboration between industry and regulators.
June 23, 2017
NASAA Mulls Model Cybersecurity Rule for Investment AdvisorsNASAA is also developing cyber guidance and a checklist for small advisory firms to assess their cyber preparedness.
November 15, 2016
Advisors beware: Securities regulators ramp up enforcementFinancial advisors who adopt an 'it wont happen to me' posture when it comes to getting caught violating state (or federal) regulations need to watch out.
November 15, 2016
Advisors beware: Securities regulators ramp up enforcementFinancial advisors who adopt an 'it wont happen to me' posture when it comes to getting caught violating state (or federal) regulations need to watch out.