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September 23, 2021

North American Securities Administrators Association Announces 2021 Award Recipients

The North American Securities Administrators Association (NASAA) announced its 2021 NASAA award recipients during its Fall Annual Meeting in Chicago, September 19-21. Awardees were recognized for their outstanding contributions to investor protection and state securities regulation.
September 21, 2021

Maryland Securities Commissioner Melanie Senter Lubin Takes Helm as 104th President of North American Securities Administrators Association

Maryland Securities Commissioner Melanie Senter Lubin began her one-year term this afternoon as the 104th president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation, during the organization’s Fall Annual Meeting.
September 20, 2021

State Investment Adviser Examinations Sweeps Uncover Deficiencies in Policies To Protect Seniors And Vulnerable Persons

A series of 1,206 coordinated examinations of state-registered investment advisers by state securities examiners showed that nearly 59 percent of investment advisers did not have policies or procedures in place for addressing the financial exploitation of seniors or vulnerable persons, the North American Securities Administrators Association (NASAA) announced.
September 20, 2021

North American Securities Administrators Association Approves Statement on Diversity, Equity and Inclusion

The North American Securities Administrators Association (NASAA), the organization of U.S. state securities regulators, securities regulators in Washington, D.C., Puerto Rico, the U.S. Virgin Islands and securities regulators in Canada and Mexico announced that its members approved a Diversity, Equity and Inclusion (DEI) statement during its Fall Annual Meeting.
September 14, 2021

NASAA Releases Legislative Commentary to Protect Seniors and Vulnerable Adults from Financial Exploitation

The North American Securities Administrators Association (NASAA) today released an updated legislative commentary for the NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation, which includes new findings and recommendations that states and stakeholders may consider as they advance efforts to protect senior and vulnerable adult investors from potential financial exploitation.
September 8, 2021

NASAA Fall Annual Meeting to Examine Emerging Trends in Financial Regulation

Securities regulators, financial industry leaders and investor advocates throughout North America will convene in Chicago, Illinois, September 19-21 for the North American Securities Administrators Association’s (NASAA) 2021 Fall Annual Meeting.
August 12, 2021

North American Securities Administrators Association Announces Results of 2021-2022 Board Elections

Melanie Senter Lubin, Maryland’s Securities Commissioner, was elected to a one-year term as president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation.
July 29, 2021

NASAA Participates in National Whistleblower Day Event

The North American Securities Administrators Association (NASAA) will participate in the National Whistleblower Center’s celebration commemorating the valuable contributions of whistleblowers to the securities industry.
June 15, 2021

NASAA, SEC and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention, and Reporting of Financial Exploitation of Seniors

In recognition of World Elder Abuse Awareness Day, the North American Securities Administrators Association (NASAA), the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced a new resource intended to assist securities firms in implementing the training requirements of the Senior Safe Act.
June 15, 2021

NASAA Recognizes World Elder Abuse Awareness Day

In recognition of World Elder Abuse Awareness Day on June 15, NASAA reminds financial professionals and the public to be on the lookout for signs of elder financial abuse, including potential exploitation by guardians.