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Utah Issues Notice of Proposed Rule

February 1, 2010 (more…)

State Securities Regulators Announce Settlement with Bankers Life and Casualty Company

NASAA Task Force Finds Illinois-based Insurance Firm Acted as Unlicensed Broker-Dealer and Investment Adviser  WASHINGTON, D.C., April 4, 2012 — The…

Laws Provide Con Artists with Personal Economic Growth Plan

NASAA Identifies Emerging and Persistent Investor Threats WASHINGTON (August 21, 2012) – The North American Securities Administrators Association (NASAA) today…

Coordinated Examinations Identify Top BD Compliance Violations

State Securities Regulators Offer Recommended Best Practices Download: 2012 BD Coordinated Examination Report (pdf) SAN DIEGO (September 9, 2012) – Based…

The JOBS Act: The Importance of Prompt Implementation for Entrepreneurs, Capital Formation, and Job Creation

STATEMENT OF A. HEATH ABSHUREARKANSAS SECURITIES COMMISSIONERANDPRESIDENT OF THENORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATIONBEFORE THEHOUSE SUBCOMMITTEE ON CAPITAL MARKETS AND GOVERNMENT…




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