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Wisconsin Securities Regulator Appointed to SEC Investor Advisory Committee
NASAA Members Adopt Model Rule to Require Continuing Education by Investment Adviser Representatives
The Coronavirus is Novel but Crisis-related Scams are Nothing New
Learn more about the enforcement activities of NASAA members.
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
State securities regulators are urging the SEC not to move forward with its proposal to order a new federal broker-dealer exemption for private placement finders amid concerns the proposal lacks adequate investor protections. Details: https://bit.ly/3nqLf8F
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
