NASAA
Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.
April 18, 2013
State regulators to hike exam fees for Series 63, 65 and 66Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.
April 18, 2013
State regulators to hike exam fees for Series 63, 65 and 66Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.
April 17, 2013
State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.
January 10, 2013
2013: The Road AheadNASAA will keep a close eye on Congress' attempts to delay or derail Dodd-Frank regs, another round of JOBS act-related legislation and an SRO for advisors.
December 07, 2012
NASAA Fires Off Warning as Crowdfunding AcceleratesWith the number of crowdfunding Internet domains jumping from 900 to 8,800 since the beginning of the year, NASAA sees big potential for abuse.
October 31, 2012
NASAA to advisors: Help seniors avoid investment trapsTo help everyone stay safe, the North American Securities Administrators Association (NASAA) has released its annual list of products that threaten to trap investors.
September 13, 2012
BDs’ Top 5 Biggest Compliance Failures: NASAANASAA has released the results of its coordinated examinations of broker-dealers, identifying BDs top five compliance violations.
September 12, 2012
NASAA to Advisors: Help Seniors Avoid Investment TrapsThe investment marketplace remains a dangerous place for unwary seniors and their advisors.
September 12, 2012
NASAA to Advisors: Help Seniors Avoid Investment TrapsThe investment marketplace remains a dangerous place for unwary seniors and their advisors.
April 04, 2012
Advisors Get Online Help to Identify ‘Switch’ Requirements: NASAANASAA said that the resource is located on the association's website and offers, as a convenience for advisors, information on individual state registration requirements.