Tagged: andrew hartnett

September 12, 2023 @ 9:26 am By JD Alois  |  

NASAA (North American Securities Administrators  Association) says there has been a decline in “top reported violations” in regard to the most recent state registered investment advisor review. NASAA collects the data every two years provided by state securities regulators. NASAA President Andrew Hartnett says the… Read More

April 21, 2023 @ 11:36 am By JD Alois  |  

The North American Securities Administrators Association (NASAA) has posted its annual list of top threats for retail investors. In the past, innovations like securities crowdfunding joined the group. The 2023 list leads with digital assets at the top of the list as regulators point to… Read More

April 6, 2023 @ 5:37 pm By JD Alois  |  

The North American Securities Administrators Association (NASAA), the group that represents all state securities regulators plus provinces in Canada and states in Mexico, has announced a penalty of $10 million assessed on Robinhood (NASDAQ:HOOD). Under the terms of the settlement, Robinhood neither admits nor denies… Read More