Company: North American Securities Administrators Association

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

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Proposed rules aim to address unpaid compensation to harmed investors

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SEC, FINRA, NASAA join forces in investor protection push

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Shortcoming uncovered in state regulators' compliance reviews, NASAA reports

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North American body adopts diversity, inclusion policy

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Financial industry can be the first line of defence against exploitation of vulnerable investors

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The act would help governments provide financial help to victims of securities law violations

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Accurate data on the true cost of elder exploitation is needed, trade group says

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NASAA survey of regulators' enforcement teams identifies top threats to investors

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Loneliness, cognitive decline and an increased reliance on the internet intensify investors' vulnerability