Displaying 229 results
NASAA says model law is working to fight senior financial abuse
Regulator group says 426 reports have been filed in the 25 states that have adopted the law
Promissory notes, Ponzi schemes top investor threats for 2020, says NASAA
State regulators also see trouble in real estate, cryptocurrencies and social media investments
State regulators encourage brokerages to use insurance to fund arbitration losses
NASAA says step would help address problem of unpaid arbitration awards
Regulators can do more to protect vulnerable, senior investors
Ongoing support must be committed to continuously enhance protection and fraud detection.
States considering rules for how advisers charge subscription fees
Guidance from NASAA likely to warn advisers not to charge monthly fee for advice alone.
State regulators are skeptical about expanding private offerings to ordinary investors
The SEC's investor advocate also raises questions about the agency's concept release.
New NASAA president pursues fiduciary rule in New Jersey
Gerold says decision on a model rule is up to NASAA's membership
State regulators obtain more than $1 billion in investor restitution, fines
Money returned to investors hits highest level — $558 million — since 2014, NASAA reports.
Small advice firms show increase in cyber-related issues
State regulator exams also indicate fewer problems with fees and other areas.
Virginia poised to ban mandatory arbitration clauses for state-registered advisers
State regulator said limitation is 'contrary to fiduciary duty.'
Finra will defer to SEC on interpreting best interest rule
Finra CEO Cook: 'It's not our rule. It's an SEC rule.'
Leveraged and inverse ETFs may be too risky to sell, says state regulator group
North American Securities Administrators Association sees room for improvement in supervision.
Senate Republicans seek allowances for RIAs to manage pooled crowdfunding money
GOP lawmakers also ask SEC to increase number of investors who qualify to buy private placements.
Vermont establishes restitution fund for victims of investment fraud
Portion of settlements with financial perpetrators would supply the pool.
State regulators release model cybersecurity rule
Under the proposal, investment advisers would have to establish written policies to safeguard client data.
State regulators urge SEC not to try to block state fiduciary laws
NASAA doesn't want regulator to assert federal preemption in advice rule.
NASAA president calls on Congress to prevent advisers, brokers from putting their interests ahead of clients’
Michael Pieciak details four ways lawmakers can empower investors in 2019, including banning mandatory arbitration.
State securities regulators back Nevada’s fiduciary rule proposal
NASAA President Michael Pieciak: Draft regulations should curb abusive practices.
NASAA distances itself from state fiduciary efforts, wants Reg BI to succeed
IRI also pushes for SEC rule, and a bill to promote annuities in retirement plans.
SEC Regulation Best Interest allows harmful broker practices, state regulators say
NASAA asserts industry support of proposal proves it needs to be beefed up.
