Tag: NASAA
Regulatory Perspective: The Path Ahead for Alts in 2023
Following downturns in the stock and bond markets, financial professionals and Main Street investors are turning to alternative investments to further diversify in a...
NASAA REIT Proposal Garners Objections from Industry Advocates
The North American Securities Administrators Association (NASAA), a non-profit association of state, provincial, and territorial securities regulators, received public comment on proposed revisions to...
NASAA Extends Comment Period on Proposed Non-Traded REIT Policy Revisions
The North American Securities Administrators Association (NASAA) has extended the public comment period on proposed revisions to its non-traded real estate investment trust guidelines....
NASAA Seeks Public Comment on Proposed Non-Traded REIT Policy Revisions
The North American Securities Administrators Association (NASAA), a non-profit association of state, provincial, and territorial securities regulators, seek public comment on proposed revisions to...
NASAA Reports Increased Enforcement Actions Tied to Commodities, Digital Assets
The North American Securities Administrators Association (NASAA) has released its annual enforcement report, which shows increasing numbers of investigations and enforcement actions taken by...
NASAA Details State Enforcement Actions Against GPB Capital
The North American Securities Administrators Association (NASAA) has reported that seven state securities agencies have filed regulatory actions against New York-based investment adviser GPB...
NASAA Members Adopt Model Rule to Require Continuing Education by Investment...
The North American Securities Administrators Association (NASAA) plans to adopt a model rule to set parameters by which its members could implement continuing education...
State Regulators Propose Establishing Restitution Fund for Victims of Securities Law...
The board of North American Securities Administrators Association (NASAA) is seeking public comment on a proposal that would assist states in creating a restitution...
NASAA Announces Top Investor Threats for 2020
The North American Securities Administrators Association (NASAA) announced the top five products or schemes likely to scam investors in the coming year and recommended...
NASAA Urges Congress to Halt Expansion of Private Securities Markets
The North American Securities Administrators Association (NASAA) has urged Congress to take no further action to expand the nation’s private securities markets until a...
SEC and NASAA Issue Summary of Securities Laws Relating to Opportunity...
The Securities and Exchange Commission and the North American Securities Administrators Association (NASAA) have issued a summary that explains the application of the federal...
Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and...
The Massachusetts Securities Division has fined LPL Financial $1.1 million for failing to properly register agents in Massachusetts and timely file certain reportable events....
NASAA: State Regulators Ready to Help During Partial SEC Shutdown
The North American Securities Administrators Association has reported that state securities regulators are unaffected by the partial shutdown of the federal government and available...
NASAA: Enforcement Actions Skyrocket for RIAs in 2017
The North American Securities Administrators Association (NASAA), an organization that represents state, provincial, and territorial regulators in the U.S., Canada and Mexico, has just...
LPL Fined $26 Million Over Sales of Unregistered Securities
LPL Financial LLC., the nation’s largest independent broker-dealer, will pay a settlement totaling $26 million over the sale of unregistered securities, stemming from an...
The DI Wire Q&A with ADISA President Keith Lampi
The DI Wire had a chance to speak with ADISA president Keith Lampi ahead of ADISA’s 2018 Spring Conference held next week in Orlando,...
