North American Securities Administrators Association

Results: 518



#Item
71Business / Crowd funding / Finance / Money

December 22, 2014 INTRASTATE CROWDFUNDING LEGISLATION Prepared by the North American Securities Administrators Association (NASAA) STATE

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Source URL: www.nasaa.org

Language: English - Date: 2014-12-23 12:59:19
7273rd United States Congress / Financial regulation / Finance / Financial system / New Deal / Securities Act / Form D / Regulation D / North American Securities Administrators Association / United States securities law / United States Securities and Exchange Commission / SEC filings

ALABAMA SECURITIES COMMISSION Post Office Box[removed]Montgomery, Alabama[removed]Telephone: ([removed]or[removed]Fax: ([removed]Email: [removed] Website: www.asc.alabama.gov   

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Source URL: www.asc.state.al.us

Language: English - Date: 2014-12-15 12:34:23
73Financial economics / Finance / North American Securities Administrators Association / Financial Industry Regulatory Authority / U.S. Securities and Exchange Commission / Securities Exchange Act / Broker-dealer / Self-regulatory organization / Uniform Securities Agent State Law Exam / United States securities law / Financial regulation / Financial system

NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C[removed]0900 Fax: [removed]www.nasaa.org

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Source URL: www.nasaa.org

Language: English - Date: 2014-12-23 13:47:29
74Finance / Professional certification in finance / Financial services / Financial regulation / Financial adviser / Financial planner / Investment Adviser Association / Investor education / North American Securities Administrators Association / Financial economics / Business / Investment

Updated Publication Addresses Investor Confusion about   Stockbrokers, Investment Advisers, and Financial Planners    WASHINGTON, D.C., July 30, 2013—Groups representing state securities regulator

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Source URL: www.napfa.org

Language: English - Date: 2013-08-06 12:11:21
75Securities fraud / Financial system / Securities regulation in the United States / North American Securities Administrators Association / Pearlasia Gamboa / Financial economics / Finance / United States securities law / Corruption / Securities

New Mexico Regulation and Licensing Department SECURITIES DIVISION T on ey An a ya Bu i ld in g ▪ 2550 Cer ri llos Ro ad ▪ P.O . Box 25101 ▪ Sa nt a Fe, N ew Mexi co[removed]-4580 ▪ Fax[removed]7

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Source URL: www.rld.state.nm.us

Language: English - Date: 2014-10-29 17:28:54
76Finance / North American Securities Administrators Association / Financial Industry Regulatory Authority / U.S. Securities and Exchange Commission / Securities Exchange Act / Broker-dealer / Uniform Securities Agent State Law Exam / United States securities law / Financial economics / Financial system

NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C[removed]0900 Fax: [removed]www.nasaa.org

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Source URL: www.nasaa.org

Language: English - Date: 2014-12-23 13:47:26
77North American Securities Administrators Association / Financial system / Business / Finance / United States securities law / Financial Industry Regulatory Authority / U.S. Securities and Exchange Commission

NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C[removed]0900 Fax: [removed]www.nasaa.org

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Source URL: www.nasaa.org

Language: English - Date: 2014-10-22 13:28:41
78

NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C[removed]0900 Fax: [removed]www.nasaa.org

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Source URL: www.nasaa.org

Language: English - Date: 2014-11-07 10:10:28
    79Investor education / Ethics / Securities fraud / North American Securities Administrators Association / Fraud / Madoff investment scandal / United States securities law / Law / Economics

    In cooperation with the North American Securities Administrators Association, I am pleased to

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    Source URL: www.cyberdriveillinois.com

    Language: English - Date: 2012-02-06 10:25:43
    80Law / Financial regulation / Financial economics / Canadian law / Canadian securities regulation / Securities fraud / North American Securities Administrators Association / U.S. Securities and Exchange Commission / Selling away / Securities / United States securities law / Financial system

    NASAA ENFORCEMENT REPORT 2014 REPORT ON 2013 DATA PREPARED BY: NASAA ENFORCEMENT SECTION OCTOBER 2014

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    Source URL: www.nasaa.org

    Language: English - Date: 2014-11-04 14:15:25
    UPDATE