NASAA Releases Annual Enforcement Report

In its 2016 Enforcement Report on 2015 Data, which includes responses from 52 jurisdictions throughout the United States, the North American Securities Administrators Association (NASAA) reported that state securities regulators conducted 4,487 investigations in 2015 and took 2,074 enforcement actions. These actions led to more than $538 million in restitution ordered returned to investors, fines of $230 million and criminal relief of 1,282 years, including incarceration, probation and deferred prosecution.

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