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Dodd-Frank Overview On Wednesday, July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer…
Testimony of Mark J. Griffin Director, Utah Securities Division President, North American Securities Administrators Association Before the SUBCOMMITTEE ON FINANCE…
Incidences of Deficiencies in Other Compliance Areas Decline Download the 2019 IA Coordinated Examination ReportWASHINGTON, DC (September 8, 2019) –…
NASAA Releases New Cybersecurity Resource for Investment Advisers 2017 NASAA Investment Adviser Coordinated Examination Report NASAA Cybersecurity Checklist for Investment…
Testimony of Rick Fleming Deputy General Counsel North American Securities Administrators Association, Inc. Before the Senate Committee on Banking, Housing…
