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  • NASAA: Protecting Main Street Investors - 16 October 2014
  • With its membership consisting of 67 administrators from United States territories, districts and states, as well as from the provinces of Canada and Mexico, the North American Securities Administrators Association (NASAA) has as its main aim the protection of consumers who purchase investment advice and/or securities. To this end, the NASAA has jurisdiction over a wide range of intermediaries and issuers offering securities to members of the public. The Association also facilitates information sharing and multi-state enforcement actions for the state securities agencies it represents, and arranges training and education programs and seminars for securities agency staff at state, district and provincial level. The Uniform Securities Agent State Law Exam, referred to as 'Series 63', required as a qualification for securities agents in most states, was formulated by the NASAA and is administered by the Financial Industry Regulatory Authority (FINRA).

  • Third Quarter Earnings Season Starts - 16 October 2014
  • JP Morgan Chase started the ball rolling in third quarter earnings for the banking sector, reporting $5.57 billion third quarter profit – results much different from the $380 million loss reported for the same period last year. A boost to the fixed income trading unit of the nation's largest bank was one of the motivating factors behind the turnaround, as fixed income revenues rose 2.1 percent year-on-year to beat analysts' forecasts. Earnings were weakened by the $1.1 billion reserved for legal costs*, resulting in a drop of 26 cents per share. Nonetheless, JP Morgan's results have raised investors' hopes that other Wall Street financial institutions will present favorable results in the coming weeks.


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