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Lisa Hopkins of West Virginia to Lead North American Securities Administrators Association
The Need for Financial Aid to America’s States and Territories During the Pandemic
We're conducting a nationwide survey to collect input on potential course content for Investment Adviser Representative Continuing Education classes.
The NASAA Electronic Filing Depository allows filers and issuers to quickly submit filing notices, fees, and forms to states, U.S. territories and jurisdictions.
In the largest joint filing between the CFTC and state regulators in history, the CFTC and 30 states today charged Los Angeles precious metals dealers in an ongoing $185 million fraud targeting the elderly. Details: https://bit.ly/333yaL3
Results of a nationwide examination of BDs and IAs by state securities regulators provide the first comprehensive look at industry practices before implementation of the SEC's Reg. BI, providing benchmarking data to help gauge the new rule's effectiveness. https://bit.ly/3kCG83K
Scam artists and bad actors may use the COVID-19 pandemic for their personal gain. Before you invest, make sure you know who you're investing with. #SummerofSafety WATCH: https://www.youtube.com/watch?v=hFrtk2iJ55g
Alabama Securities Commission Says Don't Hit on Phishing Lures and Gives Red Flags To Stay Off the Hook
https://asc.alabama.gov/News/2020%20News/9-4-20Stay-off-the-Hook-JM-NV.pdf
