NASAA

Important Announcement: The NASAA Electronic Filing Depository (EFD) will be unavailable to receive or review regulatory filings between 12:00 a.m., January 1, 2025, and 9:00 a.m., January 6, 2025. For more information, please see the related press release: https://lnkd.in/eASVANNB

🚨 Reminder for Investment Adviser Representatives 🚨 IARs must complete IAR CE courses and IAR CE Providers must report those course completions to FINRA before the CRD system shutdown on December 26 to ensure IAR CE credits are applied before the end of the year. Avoid any impact to your IAR registrations by finishing your coursework well ahead of the deadline. For more details, click here: https://lnkd.in/eRU9hcFk

** Public Comments Requested ** NASAA is seeking public comments on proposed revisions to our broker-dealer conduct rule, titled Dishonest or Unethical Business Practices of Broker-Dealers and Agents (“Conduct Rule”). 🗓️ Deadline: December 19 🔗 Details: https://lnkd.in/dxmKGCsN

Stay informed with our latest investor bulletin on social isolation and the risk of investment fraud, developed in collaboration with our partners. This article helps to raise awareness of the devastating impact social isolation can have on senior investors and offer tips that can help. 📖 Read the bulletin: https://lnkd.in/euuJEnWp   A big thank you to our partners for working with us: - The Financial Industry Regulatory Authority (FINRA) - The U.S. Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) - The National Futures Association (NFA) - The U.S. Commodity Futures Trading Commission’s (CFTC’s) Office of Customer Education and Outreach

Join NASAA: We’re the oldest international organization dedicated to investor protection, and we’re hiring for three exciting roles: - Director of Education, Events, and Membership - Human Resources Manager - Business Data Analyst Interested? Learn more and apply here: https://lnkd.in/eRJqvGb Know someone perfect for these roles? Please share this opportunity.

We’re excited to announce that we now have over 9,000 followers on LinkedIn! Thank you for being part of our online community and supporting our members’ work to serve and protect investors. Learn more about our mission and vision here: https://lnkd.in/eEaWXkah

Join NASAA’s Industry Advisory Committee: NASAA's Franchise and Business Opportunities Project Group is inviting applications for its Industry Advisory Committee. This is a unique opportunity to provide advice, assistance, and recommendations on issues and developing trends in the franchising and business opportunities arena. 🗓️ Application Deadline: December 6, 2024 🔍 Who Can Apply: Anyone with professional or practical experience relating to franchising or business opportunity issues. Don’t miss out on this chance to make a difference! Details: https://lnkd.in/dTEYfemZ

** Investor Alert ** If an investment promoter says, “You can trust me—I have credentials and extensive experience,” consider it a red flag. 🛑 Credibility can be stretched and faked. A legitimate promoter will have no issues with you conducting a background check. 🕵️♂️ ✅ Verify the authenticity of their education and experience by contacting the organization that issued the credential. ✅ Most importantly, contact your state or provincial securities regulator to ensure the person is registered to sell investments and has no disciplinary history. Stay informed and protect your investments. Learn more warning signs of fraud here: https://lnkd.in/e8bDHC7 #InvestorProtection #FraudPrevention #NASAA

Attention Investment Advisers: Ensure Compliance with OBA Disclosures As fiduciaries, you have a duty of loyalty to eliminate or make full and fair disclosure of all conflicts of interest resulting from outside business activities (OBAs). It’s crucial to disclose OBAs on several required regulatory forms to maintain compliance and consistency. Our latest article provides detailed guidance on where disclosures may be required on Form U4 and Form ADV Parts 1 and 2. Access comprehensive instructions and a glossary of terms in the NASAA Uniform Form Library. 🔗 Read more: https://lnkd.in/e5aBEGSp

🌟 Join Our Team! 🌟 NASAA, the oldest international organization dedicated to investor protection, is hiring for two exciting positions: Director of Education, Events, and Membership and Business Data Analyst. Interested? Learn more and apply here: https://lnkd.in/eRJqvGb Know someone who might be a great fit? Please share this opportunity!