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Regulation and Compliance > State Regulation & Compliance

North American Securities Administrators Association (NASAA)

Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.

Webcasts

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NASAA Wants to Rein in Advisors Who Fail to Pay Arb Awards
State Securities Regulators Report Tripling of Digital Asset Enforcement Actions
Self-Directed IRA Scams Are on the Rise, State Securities Regulators Warn
State-Registered Advisors Lack Policies to Protect Seniors: NASAA Report
Consumer Federation of America Starts Search for Roper's Replacement

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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Maryland Securities Commissioner Lubin Elected NASAA President
SEC, FINRA, NASAA Launch Senior Safe Act Training Program
Top 8 News Stories of the Week
SEC, NASAA Issue Alerts on ESG Investing
NASAA Adopts Rule on CE Credits for Investment Advisors