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NASAA
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NASAA: Congress should have tech-neutral approach to market regulation
Bespoke laws on types and uses of specific technologies must preserve state regulatory authority to protect investors, says letter.
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Crypto firm settles charges for its interest feature on crypto asset accounts
The SEC and a multistate taskforce charge TradeStation Crypto Inc. for failing to register the offer and sale of a crypto lending product.
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SIFMA: NASAA’s proposed revisions to its BD model rule conflict with Reg BI
SIFMA submits a sternly worded comment letter to NASAA on its proposed revisions to its model rule related to broker-dealer business conduct.
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CFTC and 30 state regulators act over fraud scheme targeting elderly
Safeguard Metals LLC charged over fraudulently overpriced silver coins that targeted elderly people.
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NASAA’s 2023 state IA exam sweep identifies compliance deficiencies
State examiners identified shortcomings in registration, books and recordkeeping, supervision and compliance as well as contracts and fees.