On May 1, the Financial Industry Regulatory Authority and North American Securities Administrators Association reported progress toward the launch of an online test delivery service.
Continue Reading FINRA and NASAA Report Progress Towards May 24 Launch of Online Testing
NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet
Posted in Broker-Dealer
On May 23, the North American Securities Administrators Association (NASAA), Securities Exchange Commission and the Financial Industry Regulatory Authority issued a fact sheet on the Senior Safe Act to help raise awareness among broker-dealers, investment advisers and transfer agents.
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CFTC and NASAA Sign Information Sharing Agreement
By Sarah R. Adams & Kevin M. Foley on
Posted in CFTC
On May 21, the Commodity Futures Trading Commission announced that it had signed a mutual cooperation agreement with the North American Securities Administrators Association (NASAA) to promote information sharing between the CFTC and state securities regulators. The agreement is designed to assist in the enforcement of the Commodity Exchange Act, which state securities regulators and…
NASAA Launches a Streamlined Filing Process for Form D
Posted in SEC/Corporate
The North American Securities Administrators Association (NASAA) recently announced the launch of the online Electronic Filing Depository (EFD). The EFD is an online system that creates a streamlined process to enhance the efficiency of paying the filing fee and submitting a Form D filing for a Regulation D, Rule 506 offering to multiple state securities regulators at once.
Continue Reading NASAA Launches a Streamlined Filing Process for Form D