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Search Results for: fraud

NASAA President Heath Abshure's Keynote Address at SIFMA Compliance and Legal Society Annual Meeting

March 19, 2013Scottsdale, Arizona Good morning, my name is Heath Abshure.  I am the Arkansas Securities Commissioner, and the President…

NASAA Releases Annual Enforcement Report

For First Time, Report Shows More Actions Brought Against Registered Securities Industry Members Download: 2016 NASAA Enforcement Report Based on…

NASAA Sees Sharp Spike in Crowdfunding Presence on the Internet

NASAA Task Force Monitoring Internet for Increased Signs of Fraud WASHINGTON (December 5, 2012) – Crowdfunding’s presence on the Internet…

NASAA Leads Fight Against Elder Financial Abuse

State Securities Regulators, Physicians and Adult Protective Services Workers Launch Innovative Campaign to Curb Elder Investment Fraud and Financial Exploitation…

Venture Exchanges and Small-Cap Companies

WRITTEN STATEMENT OF WILLIAM BEATTY PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. AND WASHINGTON SECURITIES DIVISION DIRECTOR BEFORE THE SUBCOMMITTEE…




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