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NASAA Releases Annual Enforcement Report

September 13, 2016–For first time, report shows more actions brought against registered securities industry members than non-registered individuals.

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Minnesota’s Mike Rothman Begins Term as NASAA President

September 13, 2016–Minnesota Commissioner of Commerce Mike Rothman today began a one-year term after having been elected president of NASAA.

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2016 Presidential Address: Minnesota Commissioner of Commerce Mike Rothman

September 13, 2016–NASAA President Mike Rothman’s inaugural address at NASAA’s 2016 Annual Conference in Providence, Rhode Island.

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NASAA Releases Guide to Practices and Procedures for Protecting Senior Investors and Vulnerable Adults from Financial Exploitation

September 12, 2016–New NASAA guide released to assist broker-dealer and investment adviser firms in developing practices and procedures to detect and address instances of diminished capacity in senior and other clients and suspected cases of senior financial exploitation.

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NASAA Coordinated Exams Focus on Broker-Dealer Policies and Procedures for Senior Investors

September 12, 2016–Preliminary findings of coordinated examinations of broker-dealer firms by state securities regulators show that while improvements have been made in how firms interact with their elderly clients, some firms lack formal written procedures on key areas related to senior investors.

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NASAA Adds Financial Services Module to Senior$afe Training Program

September 8, 2016–States also making plans for Senior$afe training week October 2-8, 2016.

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NASAA Annual Conference to Explore Diversity in Today’s Financial Marketplace

August 17. 2016–Conference to Feature SEC Chair Mary Jo White; Panels on Gender Diversity in the Workplace & Benefits and Challenges of Serving and Protecting Increasingly Diverse Investor Populations

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NASAA Statement in Response to House Passage of H.R. 5421

July 12, 2016–“We appreciate improvements that have been made to H.R. 5421. However, we continue to oppose the legislation as it is yet another federal law that erodes state authority to protect investors.”

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NASAA Statement on House Passage of The Senior$afe Act of 2016

July 6, 2016–NASAA commends the U.S. House of Representatives for its resounding approval of H.R. 4538, the Senior$afe Act of 2016, and looks forward to working closely with Sen. Susan Collins (R-ME), and other members of the Senate to secure its passage in that chamber.

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NASAA Statement on The Senior$afe Act of 2016

June 16, 2016–NASAA applauds the passage of the Senior$afe Act of 2016 by the House Financial Services Committee and appreciates the efforts of those in Congress to address the critical policy challenges presented by senior financial exploitation.

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