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NASAA Annual Conference to Focus on the Financial Services Technology Revolution

August 10, 2017–Securities regulators and industry participants from throughout North America will convene next month in Seattle, Washington, for the North American Securities Administrators Association’s (NASAA) annual conference. Under the theme “The Financial Services Technology Revolution,” the conference will be held September 24-26.

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Cybersecurity Threats to Financial Services Industry, Investors Explored at NASAA Roundtable

June 23, 2017–Rothman: “Cybersecurity is a growing challenge for the securities industry and for securities regulators at all levels,”

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Remarks of NASAA President Mike Rothman at NASAA’s 2017 Cybersecurity Roundtable

June 23, 2017–NASAA President Mike Rothman opens NASAA’s Cybersecurity Roundtable in Washington, D.C.

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NASAA Announces Agenda and Speakers for Cybersecurity Roundtable

June 16, 2017–NASAA cybersecurity roundtable will bring together leading experts to discuss the latest developments in cybersecurity and how small- and mid-sized investment adviser and broker-dealer firms can help protect critical client information.

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NASAA Study Examines Broker-Dealer Senior Practices and Procedures

June 15, 2017–A new NASAA study released in recognition of World Elder Abuse Awareness Day offers an inside look at the dangers seniors face from financial fraud and exploitation, and broker-dealer procedures to help protect senior clients.

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NASAA to Convene Cybersecurity Roundtable

May 31, 2017–Rothman: “Cyberattacks continue to be one of the greatest threats to our financial sector.”

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2017 Spring Edition of NASAA Insight Available Now

The Spring 2017 edition of the NASAA Insight newsletter is available on the NASAA website, here. This edition features NASAA’s legislative priorities for the 115th Congress, NASAA’s testimony about the Financial CHOICE Act, the NASAA-SEC MOU regarding information sharing, and offers a new feature focusing on enforcement-related issues of interest to NASAA members.

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Remarks of NASAA President Mike Rothman Delivered to NASAA 2017 Public Policy Conference

May 9, 2017–Delivered via Skype to NASAA’s Public Policy Conference in Washington, D.C.

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NASAA Reports More Firms Using Model Fee Table

May 9, 2017–Rothman: “This collaborative initiative between regulators and industry helps increase the transparency of fee disclosure for investors.”

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NASAA Conference to Focus on Investor Protection & Market Confidence

May 1, 2017–Rothman: “This year’s conference will help us stay on the forefront of securities regulation, capital formation, investor protection and key public policy for state and provincial regulators as we chart a course for the future amid a sea of change.”

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