Current Headlines
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.
May 18, 2021
NASAA Members Approve Model Act to Create Restitution Assistance Funds for Victims of Securities Violations
NASAA today announced that its membership has voted to approve a model act for use by jurisdictions that are considering establishing restitution assistance funds for victims of securities violations.
May 11, 2021
