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NASAA and SEC Explain Application of Securities Law to Opportunity Zone Investments

Monday, July 22, 2019

North Dakota Securities Department Now Accepting Online Filing for Unit Investment Trusts

Thursday, April 4, 2019

LPL Financial LLC - Consent Order

Saturday, February 9, 2019

Categories: Enforcement Actions

Securities Commissioner Issues Order Against Union Bank Payment Coin

Monday, November 19, 2018

Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees - Cease and Desist Order

Monday, November 19, 2018

Categories: Enforcement Actions

NASAA Releases Annual Enforcement Report

Wednesday, October 17, 2018

CacheCoine Corp., and Harlen Lee Ellis - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing

Thursday, October 11, 2018

Categories: Enforcement Actions

SECURITIES COMMISSIONER ISSUES ORDERS AGAINST 3 MORE COMPANIES PROMOTING INITIAL COIN OFFERINGS IN NORTH DAKOTA

Thursday, October 11, 2018

STUDENTS LEARN TO MAKE GOOD FINANCIAL DECISIONS WITH NTC'S DIMES, DOLLARS & DECISIONS

Thursday, October 11, 2018

Life Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees - Cease and Desist Order

Wednesday, October 10, 2018

Categories: Enforcement Actions

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