State Securities Regulators Report Hundreds of Broker, Advisor Actions in 2021

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State securities officials opened more than 5,300 investigations into financial advisors and other market participants last year, leading to more than 1,600 enforcement actions, according to the North American Securities Administrators Association, a group composed of state-level regulators in the United State, Canada, and Mexico.

Those figures are down somewhat from 2020, when Nasaa reported opening more than 5,500 investigations and pursuing more than 2,200 enforcement actions.

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