NASAA’s Senior Issues and Diminished Capacity Committee Presents: Securities Regulators and Adult Protective Services Agents Speak
Recorded: November 3, 2022
The November 3 webcast featured knowledgeable securities regulators and adult protective services professionals who work in the trenches to combat at-risk investor abuses. Our guests discussed the issues that they confront and the methods that they use to mitigate exploitation.
Our panel highlighted new trends that they see, enforcement work to stop the frauds, multidisciplinary teams working at the local, state and federal level, training and education initiatives and more. They also examined how the SEC, FINRA, the states and APS agencies work together, and separately, in this space.
Watch a recording of the webcast.
Resources Shared During the Webcast
FINRA
- Regulatory Notice 22-23: FINRA Provides Guidance on Succession Planning
National Adult Protective Services Association
- APS would not take my report. Why? (Factsheet)
- National Guidelines for Financial Institutions: Working Together to Protect Older Persons from Financial Abuse
- NAPSA’s Introduction to APS: A Guide for Community Partners
North American Securities Administrators Association (NASAA)
Senior Connection
To contact the securities regulators in your state or province, visit NASAA’s interactive map to contact your state or provincial securities regulator and to find other valuable resources for older individuals.
