North American Securities Administrators Association | Investment Executive https://www.investmentexecutive.com/post_company/north-american-securities-administrators-association/ Canada's news source for financial professionals Fri, 21 Nov 2025 16:17:23 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png North American Securities Administrators Association | Investment Executive https://www.investmentexecutive.com/post_company/north-american-securities-administrators-association/ 32 32 Court orders sanctions in precious metals scheme https://www.investmentexecutive.com/news/court-orders-sanctions-in-precious-metals-scheme/ Fri, 21 Nov 2025 16:17:23 +0000 https://www.investmentexecutive.com/?p=525972 Parallel cases by SEC, CFTC and state regulators result in restitution, penalties

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]]> NASAA beefs up guidance on REITs https://www.investmentexecutive.com/news/from-the-regulators/nasaa-beefs-up-guidance-on-reits/ Tue, 09 Sep 2025 20:54:12 +0000 https://www.investmentexecutive.com/?p=519524 Conduct standards, suitability requirements revised

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]]> NASAA to relax adviser marketing rules https://www.investmentexecutive.com/news/from-the-regulators/nasaa-to-relax-adviser-marketing-rules/ Wed, 30 Jul 2025 21:04:51 +0000 https://www.investmentexecutive.com/?p=516458 Regulators propose changes to harmonize with SEC rules, ease restrictions

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]]> Firms overcharged investors on small trades: NASAA https://www.investmentexecutive.com/news/from-the-regulators/firms-overcharged-investors-on-small-trades-nasaa/ Mon, 09 Jun 2025 18:58:18 +0000 https://www.investmentexecutive.com/?p=512108 Brokers settle allegations that investors were charged over 5% on low-value trades

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]]> NASAA launching new investor foundation https://www.investmentexecutive.com/news/from-the-regulators/nasaa-launching-new-investor-foundation/ Tue, 03 Jun 2025 14:43:14 +0000 https://www.investmentexecutive.com/?p=511356 New group to research investor protection, education policy, products

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]]> NASAA adopts ‘best interest’ in model rule https://www.investmentexecutive.com/news/from-the-regulators/nasaa-adopts-best-interest-in-model-rule/ Tue, 08 Apr 2025 13:42:52 +0000 https://www.investmentexecutive.com/?p=506504 Group's conduct rule adds Reg BI, misleading title, provisions

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]]> As SEC shifts, NASAA touts state regulation https://www.investmentexecutive.com/news/from-the-regulators/as-sec-shifts-nasaa-touts-state-regulation/ Tue, 25 Mar 2025 19:44:52 +0000 https://www.investmentexecutive.com/?p=505410 Local boots on the ground needed to defend investors, state regs tell Congress

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]]> ASC, BCSC join settlement with crypto companies https://www.investmentexecutive.com/news/from-the-regulators/asc-bcsc-join-settlement-with-crypto-companies/ Fri, 24 Jan 2025 19:05:57 +0000 https://www.investmentexecutive.com/?p=500961 Settlement provides refunds to investors that bought variety of digital assets

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]]> Vanguard settles with SEC, NASAA https://www.investmentexecutive.com/news/from-the-regulators/vanguard-settles-with-sec-nasaa/ Fri, 17 Jan 2025 22:02:37 +0000 https://www.investmentexecutive.com/?p=500518 Fund change triggered large tax bills for certain investors, regulators alleged

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]]> Edward Jones to pay US$17 million in NASAA settlement https://www.investmentexecutive.com/news/from-the-regulators/edward-jones-to-pay-us17-million-in-nasaa-settlement/ Thu, 09 Jan 2025 14:30:44 +0000 https://www.investmentexecutive.com/?p=499847 Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged

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