The North American Securities Administrators Association introduced the Investment Adviser Representative Exam Validity Extension Program.
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An investment adviser settled charges with the SEC for violating whistleblower protection rules by restricting employees from communicating potential securities law violations to the SEC.
The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.
NFA set an effective date of May 31, 2023 for recently adopted rules which establish requirements applicable to firms engaging in "digital asset commodity" activities.
NFA submitted for adoption a CFTC compliance rule to implement anti-fraud, trading, and supervisory requirements for firms engaging in digital asset commodity activities.