state securities authorities
GPTKB entity
Statements (25)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:government_agency
|
| gptkbp:coordinates |
gptkb:Financial_Industry_Regulatory_Authority
gptkb:U.S._Securities_and_Exchange_Commission |
| gptkbp:education |
public about investment fraud
|
| gptkbp:enforcedBy |
state securities laws
|
| gptkbp:existsIn |
gptkb:District_of_Columbia
gptkb:U.S._territories each U.S. state |
| gptkbp:explores |
securities fraud
|
| https://www.w3.org/2000/01/rdf-schema#label |
state securities authorities
|
| gptkbp:imposedBy |
fines
sanctions |
| gptkbp:memberOf |
gptkb:North_American_Securities_Administrators_Association
|
| gptkbp:numberOfIssues |
cease and desist orders
|
| gptkbp:operatesIn |
gptkb:United_States
|
| gptkbp:protectedBy |
investors
|
| gptkbp:provides |
investor resources
|
| gptkbp:registration |
broker-dealers
investment advisers securities offerings |
| gptkbp:regulates |
securities industry
|
| gptkbp:takeActionAgainst |
violations of state securities laws
|
| gptkbp:bfsParent |
gptkb:Registered_Investment_Advisor
gptkb:Form_ADV |
| gptkbp:bfsLayer |
7
|