Interest-earning program violated state, federal securities laws, regulators alleged
Scheme involved selling overpriced silver coins to older investors, retirees
Registration, record-keeping and supervisory deficiencies were most common in firms' exams
Firms make token effort to raise standards, cling to suitability, NASAA finds
NASAA survey on investor threats finds digital asset schemes top the list
Firm fined for operational failures, service and supervisory issues
State regulators oppose proposals to expand private markets, erode investor protections
U.S. regulators settle with firm over unregistered product
Local regulators opened thousands of investigations, handed down millions in sanctions
Model rules allow brokers to use continuing education to maintain status