Enforcement Section
E549821
The Enforcement Section is a committee within the North American Securities Administrators Association that focuses on coordinating and supporting securities law enforcement efforts among state, provincial, and territorial regulators.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Enforcement Section canonical | 1 |
Statements (32)
| Predicate | Object |
|---|---|
| instanceOf |
committee
ⓘ
organizational unit ⓘ |
| activity |
coordinates multi-jurisdictional enforcement actions
ⓘ
develops enforcement-related policies and guidelines ⓘ facilitates information sharing among regulators ⓘ supports training on enforcement issues ⓘ |
| affiliation | North American Securities Administrators Association NERFINISHED ⓘ |
| composition | representatives of NASAA member jurisdictions ⓘ |
| countryServed | United States NERFINISHED ⓘ |
| field |
investor protection
ⓘ
securities law enforcement ⓘ securities regulation ⓘ |
| focus |
broker-dealer misconduct
ⓘ
emerging securities fraud trends ⓘ fraudulent securities offerings ⓘ investment adviser misconduct ⓘ |
| goal |
to deter securities fraud
ⓘ
to promote fair and efficient securities markets ⓘ to protect retail investors ⓘ |
| hasJurisdictionOver |
provincial securities regulators
ⓘ
state securities regulators ⓘ territorial securities regulators ⓘ |
| partOf | North American Securities Administrators Association NERFINISHED ⓘ |
| purpose |
to coordinate securities law enforcement efforts among NASAA members
ⓘ
to develop joint enforcement initiatives ⓘ to enhance cooperation among North American securities regulators ⓘ to share enforcement information and best practices ⓘ to support investigations and prosecutions of securities law violations ⓘ |
| regionServed |
Canada
ⓘ
Mexico NERFINISHED ⓘ |
| scope | North America NERFINISHED ⓘ |
| shortName | NASAA Enforcement Section NERFINISHED ⓘ |
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.