Tuesday, June 1, 2021Categories: Investor Alert
Mutual funds and exchange traded funds (ETFs) offer investors a cost-efficient way to invest in professionally managed portfolios of securities. While it is often tempting to make a purchase based on a fund’s historical performance, informed investors know that past performance is no guarantee of future performance, and that they must review a fund’s prospectus, shareholder reports and portfolio holdings to see if the fund’s risk/return profile aligns with theirs. An informed investor will pay particular attention to a fund’s expense ratio, which, over time, can eat into a fund’s earnings significantly.
Thursday, February 18, 2021Categories: Enforcement Actions
Los Angeles Precious Metals Dealers Charged by CFTC and State Regulators with $185 Million Fraud Targeting the Elderly
Tuesday, September 29, 2020
Friday, July 24, 2020Categories: Enforcement Actions
Tuesday, July 14, 2020Categories: Enforcement Actions
Monday, June 22, 2020Categories: Enforcement Actions
Friday, June 19, 2020
BISMARCK, ND (June 17, 2020) – The Securities Department is issuing this notice to inform franchisors and their counsel that the Department will be following the guidance recently issued by the NASAA Franchise Project Group regarding historical financial performance representations (“FPRs”) in light of the fact that the COVID-19 pandemic has significantly impacted many franchise systems.
ND Securities Department Recognizes World Elder Abuse Awareness Day: Warns of Risks of Investment Fraud Among Seniors Due to Increased Isolation During COVID-19
Thursday, June 11, 2020
Monday, June 8, 2020
In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.
Monday, May 11, 2020
WASHINGTON, D.C. (May 8, 2020) – The North American Securities Administrators Association (NASAA) today announced the availability of a new publication designed to improve the quality of franchise disclosures.
The 366-page Franchise Disclosure Document Handbook: A Resource Guide for Preparing a Franchise Disclosure Document is a compilation of the various rules, commentaries, and guidance from the Federal Trade Commission and NASAA governing the preparation of Franchise Disclosure Documents.