Home North American Securities Administrators Association

Company: North American Securities Administrators Association

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Closeup of mallet being hit on stacked coins at table in courtroom

Investment adviser firms were the state regulators' top targets in 2018

hacker programing in technology enviroment with cyber icons and symbols

Association warns small firms are "low-hanging fruit for cybercriminals"

Block letters spelling fraud, with magnifying glass

Regulators have launched 130 enforcement investigations so far this year

red warning flag on a stormy beach

Advisors must be "prepared to talk to clients in crisis"

senior man giving credit card details on the phone

Recent legislation gives financial firms and employees immunity for reporting incidents

Business People Meeting Discussion in a boardroom concept

The new U.S.-Mexico-Canada (USMCA) trade deal has yet to be ratified

loseup portrait senior man protecting a piggy bank

An alert says the sales tactic can take advantage of clients

United States Capitol, Washington DC

The group also called for fintech regulation

Typical yellow taxi in Manhattan street, New York city.

State securities regulators place increased focus on cryptoassets

Hand choosing employee group of businessmen new job appointment notice

Vermont’s Michael Pieciak succeeds Joseph Borg

  • September 26, 2018 September 19, 2019
  • 17:15