WASHINGTON, D.C. – (October 3, 2022) – The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for NASAA’s next “Senior Issues and Diminished Capacity Committee Presents” webcast. The webcast, scheduled for November 3, from 2:30 – 4:00 p.m. ET, is complimentary and open to the public.
“This webcast continues the important discussion of strategies and tactics aimed at combatting the financial exploitation of older and at-risk investors. This is such an important topic for regulators and the securities industry. I want to thank Rich Szuch and the members of NASAA’s Senior Issues and Diminished Capacity Committee for organizing the program,” said NASAA President Andrew Hartnett.
The webcast will address new scams and threats, how multidisciplinary teams work at the local, state, and federal levels to prevent fraud, and new training and education initiatives. There will be a detailed discussion about how the states, the SEC, FINRA, and APS agencies work together, and separately, to stop investor harm.
The webcast will begin with opening remarks from President Hartnett. Richard Szuch, NASAA’s Senior Issues and Diminished Capacity Committee Chair and the New Jersey Bureau of Securities’ Enforcement Chief, will host the program.
Webcast panelists are:
- Suzanne McGovern, Senior Advisor, Securities and Exchange Commission.
- Amanda Senn, NASAA Enforcement Section Co-Chair, Chief Deputy Director and General Counsel, Alabama Securities Commission.
- Joseph Snyder, former President, National Adult Protective Services Association (retired).
- Jennifer Spoeri, Executive Director, National Adult Protective Services Association.
- Jeanette Wingler, Associate General Counsel, FINRA, and
- Jim Wrona, Vice President and Associate General Counsel, FINRA.
To register for the free webcast, visit the NASAA website.
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of securities regulators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, the 13 provincial and territorial securities regulators in Canada, and the securities regulator in México. For more information, visit www.nasaa.org.
For More Information:
Jeanne Hamrick | Director of Communications
Karen Grajales | Communications & Investor Outreach Manager