State Regulatory Actions Increase 33% – NASAA 2020 Enforcement Report

The NASAA 2020 Enforcement Report, based on 2019 activity, summarizes enforcement activity reported by the 51 U.S. member jurisdictions. Enforcement actions against firms and individuals in 2019 totaled 2,755 actions, up 33% from 2018. Overall enforcement activities included: 6,698 Complaints Received 6,525 Investigations Initiated 2,755 Enforcement Actions (Including criminal, administrative and civil enforcement actions) 5,898… READ MORE