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NASAA Identifies Top Broker-Dealer Compliance Deficiencies
State Securities Regulators Offer Series of Compliance Best Practices Download >> 2010 Broker-Dealer Coordinated Examination Report WASHINGTON (October 12, 2010) –…A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs
WRITTEN STATEMENT OF MIKE ROTHMAN PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION AND MINNESOTA COMMISSIONER OF COMMERCE BEFORE THE U.S. HOUSE…Wall Street Analyst Conflicts of Interest Global Settlement
Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Committee on Banking, Housing and Urban Affairs…NASAA INSIGHT NEWSLETTER
Read the NASAA Insight newsletter to keep informed about recent advocacy, legal, compliance and outreach activities of the association and…The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions
Testimony of Lynne Egan Montana Deputy Securities Commissioner Member, NASAA Investor Education Section Before the Subcommittee on Oversight of Government…NASAA Urges Support for Murray Amendment to Include State Securities Regulator on Financial Stability Oversight Council
WASHINGTON (May 4, 2010) – North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford sent…Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight
Testimony of Steven D. Irwin Pennsylvania Securities Commissioner and Chairman, Federal Legislation Committee North American Securities Administrators Association, Inc. Before…
Washington, DC 20002
