Are you aware of the importance of disclosing outside business activities? NASAA’s latest article provides essential guidance for state-registered investment advisers. Learn how to stay compliant and protect your practice. 📖 Read the article on Disclosing Outside Business Activities here: https://lnkd.in/e5aBEGSp 🌐 Discover more valuable resources on our website: https://lnkd.in/dKhAXAUE A sincere thank you to the NASAA Investment Adviser Resources and Publications Project Group for providing this timely and important information. #Compliance #InvestmentAdvisers #NASAA #BusinessActivities
NASAA
Public Policy Offices
Washington, DC 8,608 followers
The Voice of State and Provincial Securities Regulation.
About us
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico. NASAA members seek to ensure the integrity and efficiency of financial markets through investor protection and support of responsible capital formation.
- Website
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http://www.nasaa.org
External link for NASAA
- Industry
- Public Policy Offices
- Company size
- 11-50 employees
- Headquarters
- Washington, DC
- Type
- Nonprofit
- Founded
- 1919
Locations
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Primary
750 First ST NE
Suite 990
Washington, DC 20002, US
Employees at NASAA
Updates
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NASAA’s Investment Adviser Resources and Publications Project Group has just released several compliance-related articles for state-registered investment advisers. Stay ahead of the curve with our latest insights on common exam deficiencies, outside business activities, and documenting suitability. 📄 Check out the first article on Common Exam Deficiencies of 2023 here: https://lnkd.in/dSgFbVtX 🌐 Explore the full series on our website: https://lnkd.in/dKhAXAUE #Compliance #InvestmentAdvisers #NASAA
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We can't wait to kick off our 2024 NASAA Fall Annual Meeting on September 8. A huge thank you to BC Securities Commission for hosting this premier event! Let us know in the comments below if you'll be joining us in Vancouver! #NASAAAnnual2024
The BC Securities Commission is proud to host the 2024 NASAA Fall Annual Meeting from September 8-10 in beautiful Vancouver. This is the premier event for North American securities regulators and the financial services industry. Special keynote address from Lawrence Deju-Wiseman Executive Director, Global Strategic Initiatives, Morgan Stanley, London. Key panel discussions include: -Tackling Global Enforcement at the Local Level -Investor Behaviour in the Digital Age and Implications for Regulators -AI’s Impact on Retail Investors: Trends and Emerging Regulatory Issues More details and registration: https://lnkd.in/gDfWq87W
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Be aware of spoofing and phishing tactics used by cybercriminals to gain your trust and steal your personal information. Even a seemingly routine request from someone posing as your investment firm could be a scam. Learn to spot the red flags and protect your data with our latest investor alert: https://lnkd.in/gTP5rbX5 Stay safe and informed! 🛡️
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Our friends at FINRA Investor Education Foundation are hosting an informative event in a few weeks. Check it out:
📣 Join us in Washington, D.C. on September 12th, for an in person conference which will bring together a multidisciplinary group of professionals working to disrupt the cycle of financial fraud. Hear first-hand about the successes and challenges faced in combating financial fraud and more. Learn more ▶️ https://bit.ly/3X8HLfw #fraudprevention #scamprevention #investorprotection #financialfraud #FBI #pigbutchering #scams
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On this National Senior Citizens Day, let’s unite to protect senior investors from fraud. Explore our Serve Our Seniors web section for valuable resources and tips for senior investors, caregivers, regulators, and financial industry professionals. Visit: https://lnkd.in/ejwFRJ8M #NationalSeniorCitizensDay #SeniorCitizensDay #Together
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Are you aware of the risks associated with spoofing and phishing? Our latest investor alert provides valuable information on these cyber threats. Read more to learn how to protect yourself: https://lnkd.in/eyHC3SUp A heartfelt thank you to NASAA'S Investor Education Alerts and Advisories Project Group for creating this alert!
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Are you interested in working for the oldest international organization devoted to investor protection? NASAA is hiring a Business Data Analyst to join our team in Washington, DC. To learn more about this position and apply, visit https://lnkd.in/eRJqvGb. Please share this opportunity with your contacts who might be interested. #NASAA #InvestorProtection
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🎙️ Tune in to our Real Life Regulators podcast on @YouTube! 🎧 In Part 3 of our series, ‘Hatching from the Egg to Creating Your Own Nest Egg,’ we discuss common pitfalls, misconceptions, obstacles, and fraud targeting retirees. 👉 Click here to listen: https://lnkd.in/eHT2tMNT
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Our Serve Our Seniors resource center offers essential tools to help caregivers protect senior investors. Access our state and provincial caregiver directory and valuable resources to support you and your loved ones. Together, we can fight investment fraud. Share this link with colleagues and friends: https://lnkd.in/eTmFkaJe
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