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 Securi...
1 Sep 202118min
Investment Advisor Representative Continuing Education
This episode features a conversation with Michigan’s Examination and Licensing Manager Linda Cena about the IAR CE Model rule.
10 Jan 202113min
Regulation Best Interest Examination Report
This episode features a conversation with Ohio Securities Commissioner Andrea Seidt about the Regulation Best Interest Examination Report.
9 Okt 202021min
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 Virgini...
8 Sep 202020min
Women's Financial Independence
A conversation on Women’s History Month, the unique financial challenges facing women and how NASAA members are responding.
7 Feb 202013min
Investment Advisers and Cybersecurity
A conversation with Ohio Securities Commissioner Andrea Seidt on state-registered investment advisers and cybersecurity.
1 Des 201913min
Fireside chat with FINRA
A fireside chat with FINRA CEO and President Robert Cook on current regulatory issues.
5 Sep 201919min
Senior Investor Protection with SEC
A conversation with SEC Commissioner Elad Roisman on a collaborative approach to senior investor protection.
4 Sep 201918min
