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Tag: North American Securities Administrators Association

Blog, Current Investigations

State Regulators Propose Restitution for Victims of Securities Fraud

State Regulators Propose Restitution for Victims of Securities Fraud According to the North American Securities Administrators Association...

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Blog, Current Investigations, Securities Fraud

LPL to Pay $26 Million for Failure to Supervise Unregistered Securities

LPL Financial Settles Charges with State Regulators According to a press announcement, LPL Financial has agreed to pay up to $26 million to...

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Blog, Securities Fraud

Overview of Securities Regulators

Securities regulation is intended to protect all participates in the securities market. This includes investors as well as financial...

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Blog, Securities Fraud

FINRA Proposes New Private Placement Offering Rule, NASAA Comments

In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a...

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