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State Agencies Announce Opening of Scholarship Essay Contest; Grand Prize Winner to Receive $2500
Two state financial agencies are partnering for the third year to award up to nine scholarships to Kansas high school seniors for personal finance essays. Read on...
Ney Announces New NASAA Guide for Protecting Senior Investors from Financial Exploitation
NASAA released a guide to assist broker-dealer and investment adviser firms in developing practices and procedures to detect and address instances of diminished capacity in senior and other clients and suspected cases of senior financial exploitation. Read on...
Special Order Issued to Designate OTCQX Market Information As An Electronic Securities Manual
Commissioner Ney issued a Special Order on September 7, 2016 to designate OTCQX marketplace information as a nationally recognized securities manual for purposes of the “manual exemption.” Read on...