North American Securities Administrators Association – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 07 Feb 2024 19:24:50 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 Crypto firm settles with SEC, state regulators https://www.investmentexecutive.com/news/from-the-regulators/crypto-firm-settles-with-sec-state-regs/ Wed, 07 Feb 2024 19:24:41 +0000 https://www.investmentexecutive.com/?p=480070 Interest-earning program violated state, federal securities laws, regulators alleged

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]]> CFTC, NASAA settle fraud targeting seniors https://www.investmentexecutive.com/news/from-the-regulators/cftc-nasaa-settle-fraud-targeting-seniors/ Wed, 25 Oct 2023 20:14:44 +0000 https://www.investmentexecutive.com/?p=474015 Scheme involved selling overpriced silver coins to older investors, retirees

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]]> NASAA details investment advisers’ compliance issues https://www.investmentexecutive.com/news/from-the-regulators/nasaa-details-investment-advisers-compliance-issues/ Mon, 11 Sep 2023 18:17:24 +0000 https://www.investmentexecutive.com/?p=471326 Registration, record-keeping and supervisory deficiencies were most common in firms' exams

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]]> U.S. brokers need work on best interest compliance https://www.investmentexecutive.com/news/from-the-regulators/u-s-brokers-need-work-on-best-interest-compliance/ Tue, 05 Sep 2023 21:15:48 +0000 https://www.investmentexecutive.com/?p=471055 Firms make token effort to raise standards, cling to suitability, NASAA finds

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]]> Crypto is the bait, and FOMO is the hook https://www.investmentexecutive.com/news/from-the-regulators/crypto-is-the-bait-and-fomo-is-the-hook/ Thu, 20 Apr 2023 18:30:46 +0000 https://www.investmentexecutive.com/?p=464224 NASAA survey on investor threats finds digital asset schemes top the list

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]]> Robinhood sanctioned for 2020 outages https://www.investmentexecutive.com/news/from-the-regulators/robinhood-sanctioned-for-2020-outages/ Thu, 06 Apr 2023 19:38:42 +0000 https://www.investmentexecutive.com/?p=463579 Firm fined for operational failures, service and supervisory issues

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]]> NASAA defends public markets, investors https://www.investmentexecutive.com/news/from-the-regulators/nasaa-defends-public-markets-investors/ Wed, 08 Feb 2023 20:17:03 +0000 https://www.investmentexecutive.com/?p=460025 State regulators oppose proposals to expand private markets, erode investor protections

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]]> Crypto lending product ruled a security: SEC, NASAA https://www.investmentexecutive.com/news/from-the-regulators/crypto-lending-product-ruled-a-security-sec-nasaa/ Fri, 20 Jan 2023 19:46:04 +0000 https://www.investmentexecutive.com/?p=459014 U.S. regulators settle with firm over unregistered product

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]]> NASAA touts U.S. state enforcement efforts https://www.investmentexecutive.com/news/from-the-regulators/nasaa-touts-u-s-state-enforcement-efforts/ Wed, 21 Sep 2022 18:35:38 +0000 https://www.investmentexecutive.com/?p=451897 Local regulators opened thousands of investigations, handed down millions in sanctions

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]]> NASAA aims to help brokers stay qualified https://www.investmentexecutive.com/news/from-the-regulators/nasaa-aims-to-help-brokers-stay-qualified/ Tue, 20 Sep 2022 17:52:42 +0000 https://www.investmentexecutive.com/?p=451821 Model rules allow brokers to use continuing education to maintain status

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