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By Melanie Waddell, AdvisorOne |
August 20, 2010
Denise Voigt Crawford, Texas Securities Commissioner and president of NASAA, says states are "ready to go" in regulating the approximately 4,000 extra advisors that will officially shift next year.
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By Melanie Waddell, AdvisorOne |
March 1, 2007
As part of a multi-pronged legislative agenda for 2007, state securities regulators plan to lobby hard to have equity-indexed annuities defined as securities, ensure the...
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By Staff Writer |
March 1, 2007
NASAA, the state securities regulators association, reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of...