Friday, November 1, 2013

2013 NASAA Enforcement Report has been issued

The 2013 NASAA Enforcement Report has been released to the public.

The report summarized the investigations, enforcement statistics, and investor relief from the 2012 review activities.. The most notable is the focus on Regulation D filings, including private deals, real estate, oil & gas and others. Unregistered securities and side deals are among the top issues.

Here's a link to the full report >>> http://www.nasaa.org/wp-content/uploads/2013/10/2013-Enforcement-Report-on-2012-data.pdf#!.

0 comments:

Post a Comment