This episode highlights the metaverse, with commentary from Joseph Rotunda, Vice Chair of the North American Securities Administrators Association’s Enforcement Section Committee, and Director of the Texas State Securities Board Enforcement Division. Rotunda will describe what the metaverse is, discuss the risks of investing in the unregulated metaverse, and the role played by state and provincial securities regulators in protecting investors who invest in the metaverse.
6 Jul 2022
NASAA’s Senior Issues and Diminished Capacity Committee Presents: Financial Services Industry Experts Speak
Episode 18 features the latest episode of NASAA’s webcast series, NASAA’s Senior Issues and Diminished Capacity Committee Presents. It addresses the theme “Financial Services Industry Experts Speak.” In this recording, speakers from the financial services industry discuss how they work within their firms and with other stakeholders to mitigate vulnerable investor harm.
10 Mar 2022
Introducing "NASAA’s Senior Issues and Diminished Capacity Committee Presents"
Episode 17 features the launch of NASAA’s new webcast series, "NASAA’s Senior Issues and Diminished Capacity Committee Presents." This webcast series was developed by NASAA’s Senior Issues and Diminished Capacity Committee to provide an inclusive platform for learning from the best and brightest minds who will discuss issues that matter most to those dealing with at-risk investors.
The webcast episode you’re about to hear featured the theme “Cognition, Problems and Solutions” and addressed new ways to better understand the brain and cognition. The presenters in this recording discussed how environment, age, gender, and other factors can impact an investor’s ability to make sound financial decisions and the steps to be taken to prevent financial exploitation.
23 Feb 2022
2022 Top Investor Threats
16 focuses on NASAA’s 2022 Top Investor Threats. Joseph P. Borg, NASAA Co-Chair of the Enforcement Section Committee and Director of the Alabama Securities Commission, and Joseph Rotunda, NASAA Vice Chair of the Enforcement Section Committee and Director of the Texas State Securities Board Enforcement Division, will describe what these top threats are, and why all investors should be concerned.
28 Dec 2021
Investor Education
This episode highlights NASAA's investor education efforts, with commentary from Tom Cotter, Co-chair of NASAA’s Investor Education Section Committee and Alberta Securities Commission Vice-Chair; and Jillian Lazar, Co-chair of NASAA's Investor Education Section Committee and Director of Investor Protection with the Delaware Department of Justice.
23 Nov 2021
2021 Regulation Best Interest Phase Two Report
Chair of NASAA’s Regulation Best Interest Implementation Committee and Ohio Securities Commissioner Andrea Seidt discusses notable findings from NASAA's 2021 Reg BI Phase Two Report. The report announces the results of a nationwide survey conducted by state securities regulators that provides the first comprehensive look at broker-dealer industry policies and practices following the implementation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission.
1 Nov 2021
Trusted Contacts
NASAA Senior Issues and Diminished Capacity Committee Chair and Washington State Department of Financial Institutions’ Licensing and Examination Supervisor Kristen Standifer describes what a trusted contact is and how it can help protect investors from fraud. She also describes NASAA’s recent joint announcement with the SEC and FINRA on trusted contacts, and how this collaborative works to protect all investors and their investments.
7 Oct 2021
NASAA President Melanie Senter Lubin Discusses NASAA’s Year Ahead
This episode profiles current NASAA President and Maryland Securities Commissioner Melanie Senter Lubin.
1 Sept 2021
Model Whistleblower Award and Protection Act
This episode highlights the NASAA Model Whistleblower Award and Protection Act. Our conversation features Washington Chief of Registration & Regulatory Affairs Faith Anderson and Montana Deputy Securities Commissioner Lynne Egan.
This episode features a conversation with Michigan’s Examination and Licensing Manager Linda Cena about the IAR CE Model rule.
9 Oct 2020
Regulation Best Interest Examination Report
This episode features a conversation with Ohio Securities Commissioner Andrea Seidt about the Regulation Best Interest Examination Report.
8 Sept 2020
Presidential Fireside Chat
This episode features a conversation between the former NASAA President and Chief of Jersey Bureau of Securities Christopher Gerold and current President and Senior Deputy Commissioner of West Virginia Securities Commission Lisa Hopkins.
7 Feb 2020
Women's Financial Independence
A conversation on Women’s History Month, the unique financial challenges facing women and how NASAA members are responding.
1 Dec 2019
Investment Advisers and Cybersecurity
A conversation with Ohio Securities Commissioner Andrea Seidt on state-registered investment advisers and cybersecurity.
5 Sept 2019
Fireside chat with FINRA
A fireside chat with FINRA CEO and President Robert Cook on current regulatory issues.
4 Sept 2019
Senior Investor Protection with SEC
A conversation with SEC Commissioner Elad Roisman on a collaborative approach to senior investor protection.
3 Jun 2019
Senior Investor Protection
A conversation with Maine Securities Administrator Judith Shaw on NASAA senior investor protection initiatives.
2 Feb 2019
NASAA Legislative Agenda Part 2
A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael Pieciak on NASAA legislative priorities. (Part 2)
1 Feb 2019
NASAA Legislative Agenda Part 1
A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael Pieciak on NASAA legislative priorities. (Part 1)
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