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Company: North American Securities Administrators Association

189 results found
Stock trading, people, business concept.

Local regulators opened thousands of investigations, handed down millions in sanctions

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

Model rules allow brokers to use continuing education to maintain status

Two businesswoman using virtual reality glasses at new office to enter the metaverse stock photo

Regulators warn investors against advice, investments pitched in virtual worlds

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

Model rule, if implemented by regulators, would add enforcement teeth to arb awards, sanctions

Pile of cryptocurrency coins

Increased regulation may raise compliance costs but attract more investors, Fitch says

Dogecoin

BlockFi agreed to a US$100-million penalty and to seek registration

Shocked middle aged mature woman feeling stressed reading unbelievable online news, surprised senior old lady looking at laptop amazed by unexpected stuck computer problem sit on sofa at home (Shocked middle aged mature woman feeling stressed reading

Dozens of state and federal regulators charge that investors were duped by false claims

cryptocurrencies

Stories of "crypto millionaires" have led to big bets and big losses

old way, new way

U.S. firms continue to put their own interests ahead of clients' interests, regulators say

Target hit in the center by arrow

Proposed rules aim to address unpaid compensation to harmed investors