Search for: "North American Securities Administration Association"
Results 201 - 220
of 2,103
Sorted by Relevance
|
Sort by Date
2 Nov 2023, 5:42 pm
The Press Release suggests the growing maturity of American style administrative supervision measures which are developing in marked contrast to the style of administrative supervision developing in Europe (and of course fundamentally different from the Marxist-Leninist style of administrative supervision arising in New Era China) (see, e.g., The US Two-Thrust Campaign Against Chinese Policy in Xinjiang). [read post]
8 Jan 2015, 10:15 am
The North American Securities Administrators Association (NASAA), an organization comprised of State securities regulators, recently issued an Investor Alert regarding self-directed IRAs and the third-party custodians who service those accounts. [read post]
21 Jun 2011, 8:20 pm
The North American Securities Administrators Association (NASAA) has questioned provisions of the proposed Small Business Capital Access and Job Preservation Act (H.R. 1082) that would exempt private equity fund advisers from registration under the Investment Advisers Act of 1940. [read post]
10 Sep 2015, 5:58 am
Last week, the North American Securities Administrators Association filed an amicus brief in the litigation initiated by Montana and Massachusetts seeking to invalidate the SEC’s Regulation A amendments. [read post]
29 May 2018, 10:27 am
On May 21, the North American Securities Administrators Association (“NASAA”) announced a massive and coordinated series of enforcement actions by U.S. state and Canadian provincial regulators to combat fraudulent practices involving cryptocurrency-related investment products. [read post]
29 May 2018, 10:27 am
On May 21, the North American Securities Administrators Association (“NASAA”) announced a massive and coordinated series of enforcement actions by U.S. state and Canadian provincial regulators to combat fraudulent practices involving cryptocurrency-related investment products. [read post]
7 Feb 2012, 7:31 am
Following the recent announcement by the Federal Reserve that interest rates are expected to remain low until at least 2014, the North American Securities Administrators Association ("NASAA") issued a warning to investors to be cautious about investments offering higher returns. [read post]
2 Jul 2020, 9:58 am
To read our full comment letter to the North American Securities Administrators Association, click here. [read post]
25 Jul 2012, 8:19 pm
The North American Securities Administrators Association (NASAA) has released for public comment a proposal to revise Form ADV Part 1B. [read post]
11 Sep 2012, 7:05 am
On Sunday, the North American Securities Administrators Association released its list of broker-dealer compliance violations and best practices to avoid those violations. [read post]
7 May 2011, 9:50 pm
The North American Securities Administrators Association (NASAA) has urged FINRA to revise its proposal to require the registration of individuals who perform broker-dealer operations functions. [read post]
28 Jul 2012, 4:53 pm
The North American Securities Administrators Association (NASAA) has applauded Rep. [read post]
19 Apr 2011, 5:56 pm
The North American Securities Administrators Association (NASAA) has re-released for member and public comment the organization's proposed changes to NASAA's model rule on investment adviser custody (Proposed Rule). [read post]
20 Feb 2018, 4:29 am
Borg, the president of the North American Securities Administrators Association, said that if other states see conflicts of interest between brokers and their clients related to the DOL rule, they’ll follow in Massachusetts’ footsteps. [read post]
7 Dec 2017, 8:45 am
In addition, FINRA staff has been working with the North American Securities Administrators Association (NASAA) on various expungement issues, including potential amendments to the existing regulatory review process.The text of the proposed amendments can be found at www.finra.org/notices/17-42. [read post]
21 Jun 2011, 12:45 pm
The North American Securities Administrators Association (NASAA) has expressed concern that provisions of the proposed Small Company Capital Formation Act (H.R. 1070) would strip exempt offerings conducted under federal Regulation A of all investor protections, thereby resulting in the broad marketing and sale of riskiest and most speculative securities to the least sophisticated investors. [read post]
6 Aug 2018, 8:58 am
On May 21, 2018, the North American Securities Administrators Association (NASAA) announced a “coordinated series of enforcement actions by state and provincial securities regulators in the United Stated and Canada” in order to crack down on fraud in cryptocurrency related investment and fraudulent… [read post]
22 Jul 2022, 7:00 am
The North American Securities Administrators Association (NASAA) is an international securities-regulatory organization seeking to protect investors and promote capital markets for the benefit of all investors. [read post]
25 May 2011, 8:19 pm
The North American Securities Administrators Association (NASAA) has urged the Oregon Supreme Court to reverse a decision by the state’s Court of Appeals which held that reliance forms a necessary element of a fraud claim under Section 59.137 of the Oregon Securities Law. [read post]
3 Jun 2021, 8:03 am
The new guidance "elaborates" on rule amendments, adopted by the OAG's Investor Protection Bureau in December 2020, that transitioned filings and payments to standardized national systems.Specifically, the OAG offered the following resources:Broker-Dealer and Securities Registration Information Sheet, which compiles, among other things, the filings to be completed by issuers of securities and broker-dealers participating in a distribution;Guidance on Mandatory Filing… [read post]
