offers a short animated video to help investors understand the risks associated with ICOs and cryptocurrencies.
Borg told state securities regulators at their annual meeting that he is also "encouraged by the industry's response" to the NASAA
Model Fee Disclosure Schedule, with several broker-dealers recently joining the "growing list" of BDs using a fee schedule based on a model developed by NASAA
's Model Fee Disclosure Working Group to enhance disclosure to investors.
Although the states broadly adopted these NASAA
initiatives, (25) data and other available information show that the initiatives have been scantly utilized for the offering of securities.
A total of 2,990 securities licenses were withdrawn in 2015 as a result of state action, and an additional 738 licenses were either denied, revoked, suspended or conditioned, NASAA
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It also concluded that (regardless of what Abshure may or may not have hoped) directing the donations to NASAA
did not confer any undue benefit on the securities commissioner.
Corporation finance resources include two NASAA
programs developed to aid companies in streamlining the process of registering and issuing securities.
This risk-reducing structure has too often proven fraudulent and left victims with nothing but worthless paper issued by a bonding company that does not maintain sufficient assets to fulfill the guarantee, operates in an unregulated overseas territory or simply does not exist," NASAA
Florida's elderly population is especially vulnerable to such seminars that, according to NASAA
and other regulatory authorities, often provide a "common setting for fraudsters to engage with their victims.
rule is the culmination of an effort launched in 2003 by the organization's Task Force on Senior Designations to focus national attention on unscrupulous behavior targeting senior investors.
For more information, contact NASAA
at 10 G Street, N.
Day trading firm problems also can include violation of suitability requirements; questionable loan arrangements; abuse of discretionary accounts, where brokers have day traded customers' accounts; and failure to maintain proper books and records, according to the NASAA
Project Group report.