September 28, 2015— State Coordinated Investment Adviser Examinations Show Signs of Improved Compliance
All: Current Headlines
September 28, 2015–New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees
State Securities Regulators Announce Settlement with LPL Financial LLC Involving Non-Traded REIT Investigation
September 23, 2015–Under the terms of the settlement, Boston-based LPL agreed to remediate losses for all non-traded REITS sold by the firm from January 1, 2008 through December 31, 2013 in violation of prospectus standards, state concentration limits or LPL’s own guidelines.
August 31, 2015–Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address
August 5, 2015–Streamlined Online Filing System Tops 10,000 Filings
May 11, 2105–“NASAA appreciates that the Texas Supreme Court agrees with state securities regulators that the life settlement contacts and viaticals, at issue in Life Partners v. Arnold satisfy the definition of an investment contact under the Texas Securities Act, making them securities subject to the Texas Securities Act.”