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NASAA Releases Annual Report on State-Registered Investment Advisers
New Resource Shows Strong State COVID-19 Regulatory Response
NASAA Comment Letter to SEC Regarding Proposed Regulation S-K Amendments
NASAA Comment Letter Regarding Proposed Amendments to FINRA Expungement Process
Learn how to use NASAA's streamlined filing system for Form D and Form NF-UIT filings.
Resources to empower women investors to take control of their financial futures.
Be cautious of any investment connected to COVID-19. Fraudsters and scam artists unfortunately try to take advantage of uncertain times. Watch our short video on COVID-19 Investment scams. https://youtu.be/oZbpkO9ZB1o
ALERT: We have been informed of firms receiving phishing emails from the domain "@ http://broker-finra.org." Please note that this domain is NOT associated with FINRA and firms should delete emails originating from this domain.
NASAA forms COVID-19 enforcement task force consisting of state and provincial securities regulators to identify and stop potential threats to investors stemming from the COVID-19 pandemic. #COVID19 #CoronavirusPandemic #fraud #FraudAwareness
Details: https://bit.ly/2xYgMLa
