The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...

If adopted by states, the North American Securities Administrators Association’s (NASAA) newly announced model rule would require investment advisor representatives (IARs) in their jurisdictions to ...

Scams involving cryptocurrency and artificial intelligence are expected to be among the biggest threats to retail investors in 2025, according to the North American Securities Administrators ...

In proposing modified conduct standards for broker-dealers, a state regulators group maintains it's merely trying to mirror federal rules. Processing Content But industry representatives warn that a ...

The North American Securities Administrators Association (NASAA) approved a model rule for states that would make it easier for state regulators to pursue registrants who’ve failed to pay financial ...

The North American Securities Administrators Association (NASAA) has called upon the Securities and Exchange Commission (SEC) to make substantial revisions to its Regulation A proposed rule. The NASAA ...

The North American Securities Administrators Association, which represents state and provincial regulators in the U.S., Canada and Mexico, said Tuesday that it's offering its Exam Validity Extension ...

Federal regulators such as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) watch out for investors. And so does NASAA, the North American ...

The North American Securities Administrators Association (NASAA), the entity that lobbies on behalf of state and provincial regulators, is “urging the Securities and Exchange Commission (SEC) not to ...

Use of the title ‘advisor’ or ‘adviser’ without the required certification are now expressly prohibited by the North American Securities Administrators Association’s Conduct Rule. The changes to NASAA ...

Ten years ago the North American Securities Administrators Association (‘NASAA’) adopted its Franchise Guidelines (‘Guidelines’). The Guidelines were adopted in the wake of the Federal Trade ...