Settlement provides refunds to investors that bought variety of digital assets
Fund change triggered large tax bills for certain investors, regulators alleged
Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged
Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms
Tech, crypto schemes top threats to investors, including seniors, NASAA reports
Interest-earning program violated state, federal securities laws, regulators alleged
Scheme involved selling overpriced silver coins to older investors, retirees
Registration, record-keeping and supervisory deficiencies were most common in firms' exams
Firms make token effort to raise standards, cling to suitability, NASAA finds
NASAA survey on investor threats finds digital asset schemes top the list