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NASAA's annual enforcement report charted the continued problem of promissory note fraud, and the rise of interest in the metaverse in the securities markets.
In the summer 2021, advisor Jonathan DeYoe tragically lost his only brother. Since then, he has been on a journey to rebuild healthy habits after experiencing this huge loss.
In a newly released risk alert, the commission’s Division of Examinations highlighted potential areas of focus for the rule, which has a Nov. 4 compliance date.