Bureau of Securities

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  NASAA Names Abshure as President

  By Melanie Waddell, AdvisorOne  |  September 12, 2012

  A. Heath Abshure, Arkansas securities commissioner, began Tuesday a one-year term as president of NASAA, replacing Jack Herstein.

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  SEC, NASAA Tell Small Businesses: Wait to Join the ‘Crowd’

  By Melanie Waddell, AdvisorOne  |  July 24, 2012

  The SEC and state regulators are warning small businesses and entrepreneurs to hold off on crowdfunding.

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  State Regulators Settle With Bankers Life

  By Marlene Y. Satter, AdvisorOne  |  April 4, 2012

  The North American Securities Administrators Association (NASAA) announced Wednesday that state securities regulators had reached a settlement with Bankers Life and Casualty Company of Illinois, after a task force found that the firm was acting as an unlicensed broker-dealer and investment advisor.

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  JOBS Act Passes Senate by Wide Margin

  By Marlene Y. Satter, AdvisorOne  |  March 22, 2012

  The much-criticized, bipartisan JOBS Act passed the Senate on Thursday, 73-26.

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  Advertising Advisor Services and Credentials

  By Les Abromovitz  |  January 1, 2012

  Section 206 of the Investment Advisers Act contains the anti-fraud provision of the statute and ensures that RIAs’ advertising and marketing practices are consistent with the fiduciary duty owed to clients and prospective clients.   

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  Slew of Advisor Violations Found by State Regulators

  By Melanie Waddell, AdvisorOne  |  October 14, 2011

  A series of coordinated exams of 825 investment advisors by 45 state and provincial securities examiners between Jan. 1 through June 30 of this year uncovered 3,543 deficiencies in 13 compliance areas.