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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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NASAA Recognizes and Supports World Elder Abuse Awareness Day by Announcing Senior$afe Training Week

June 15, 2016–“Senior$afe is an important resource in the fight against elder financial exploitation,” said NASAA President and Maine Securities Administrator Judith Shaw. “This battle is a top priority for NASAA not just on World Elder Abuse Awareness Day, but every day.”

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NASAA Statement on FINRA CEO Transition

June 14, 2016–“NASAA members share Mr. Cook’s commitment to protecting investors while ensuring fair financial markets. NASAA looks forward to building upon the positive working relationship established with Mr. Cook during his tenure at the Securities and Exchange Commission as we address areas of mutual interest, including sales practices involving alternative investment products, financial exploitation of senior investors, expungement, and arbitration.”

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NASAA Releases for Public Comment Proposed Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings

May 16, 2016–In a step toward providing guidance to issuers and promoting uniformity, NASAA today announced that its Board of Directors has approved the release for public comment of a proposed model rule and uniform notice filing form for federal crowdfunding offerings.

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NASAA Insight, Spring 2016

The Spring edition of the NASAA Insight newsletter is available online. Among other topics, this edition spotlights NASAA’s seniors initiatives, including: NASAA’s Model Act to Protect Seniors and Vulnerable Adults from Financial Exploitation, The new Senior$afe training for broker-dealers and investment advisers, and, NASAA’s new seniors-focused website. Additional coverage includes NASAA’s recent capital formation […]

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