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A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

TESTIMONY OF MELANIE SENTER LUBIN MARYLAND SECURITIES COMMISSIONER ON BEHALF OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION BEFORE THE U.S.…

H.R. 4624, the Investment Adviser Oversight Act of 2012

Written Testimony of John Morgan Securities Commissioner of TexasOn behalf ofThe North American Securities Administrators Association, Inc. Before theHouse Committee…

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…

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) –…




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