Regulation Best Interest Examination Report

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 ...

7 Juli 202231min

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 Juli 20221h 29min

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 Mars 20221h 13min

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

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 Dec 202110min

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

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

This episode profiles current NASAA President and Maryland Securities Commissioner Melanie Senter Lubin.

7 Okt 202112min