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NASAA Statement on New Survey Showing Near Unanimous Investor Support for Fiduciary Duty Standard of Care

WASHINGTON (September 15, 2010) – The following is a statement from North American Securities Administrators Association (NASAA) President and Texas…

Panelists Announced for NASAA Annual Conference

Speakers to Spotlight Issues of Interest to Securities Regulators, Industry and Investors WASHINGTON, September 16, 2010—The North American Securities Administrators…

Form ADV

The following forms, unless noted otherwise, are PDF documents, which require Adobe Acrobat or comparable software, to open. Instructions and…

NASAA Launches Online Resource Center to Help IA Firms Prepare to Switch to State Regulation

BALTIMORE, MD (September 28, 2010) The North American Securities Administrators Association (NASAA) today launched an online resource to help investment…

NASAA Statement on FINRA Arbitration Plan

WASHINGTON (September 28, 2010) - The following is a statement from NASAA President and North Carolina Deputy Securities Administrator David…




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