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.” ...
6 Jul 20221h 29min
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 Diminis...
10 Mar 20221h 13min
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 C...
23 Feb 202228min
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 ...
28 Des 202110min
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 announ...
23 Nov 202119min
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 c...
1 Nov 202111min
NASAA President Melanie Senter Lubin Discusses NASAA’s Year Ahead
This episode profiles current NASAA President and Maryland Securities Commissioner Melanie Senter Lubin.
7 Okt 202112min
