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October 7, 2013
NASAA Reports Similarities in Deficiencies Among Existing and Switching Investment Advisers
October 7, 2013--NASAA reports little difference in the type or frequency of deficiencies between existing state investment and those advisers who switched from federal to state oversight as a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
August 2, 2013
NASAA Strongly Supports the Investor Choice Act of 2013
August 2, 2013--Ellison bill would greatly benefit capital formation and job creation by fostering investor trust; ensures that investors have access to judicial system by prohibiting use of mandatory pre-dispute securities arbitration agreements.
September 9, 2012
Coordinated Examinations Identify Top BD Compliance Violations
September 9, 2012 – NASAA identifies the top compliance violations and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures.
June 27, 2012
Small Business Advisory: Crowdfunding
The Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions designed to facilitate capital formation in the United States, was signed into law in 2012. Title III of the JOBS Act (also known as the CROWDFUND Act) allows entrepreneurs to raise capital by selling interests in their businesses over the internet through a […]
April 13, 2005
