Most state and provincial securities regulators have established investor education departments or divisions within their agencies. The result is an effective network of dedicated professionals delivering unbiased, relevant, and free investor education programming at the grassroots level throughout North America.
investor education professionals can be found at work in such venues as the classroom, the workplace, senior centers, and at trade and professional organization events reaching people who otherwise would not have ready access to such information. NASAA members have developed a wide array of specialized community outreach programs to educate investors in their jurisdictions.
NASAA Investor Education Outreach Program Guide
STaRT Today and Retire Tomorrow
“Don’t Wait Until It’s Too Late – Start Today and Retire Tomorrow!” was created in response to the need for investor education materials that effectively target working adults who may not be fully utilizing investing tools to reach their retirement goals.
Senior$afe Training for Financial Professionals
Senior$afe was created in Maine for use by banks and credit unions in order to increase identification and reporting of suspected cases of elder financial exploitation. NASAA collaborated with the Maine Council for Elder Abuse Prevention to retool Senior$afe so that it is available not only for banks and credit unions but also for broker-dealers and investment advisers. Because there are unique and nuanced aspects of the banking and securities industries, there is a separate program for each.
Women in Transition
Financial Empowerment for Women is an outreach program designed to empower women investors to take control of their financial futures. The program helps women learn to avoid investment fraud and invest with confidence.
NASAA’s Crowdfunding outreach program is designed to provide information to assist small businesses and start-ups seeking responsible avenues to raise investment capital to help get their business ventures off the ground.
Sandwich Generation: Caught in the Middle
The “Sandwich Generation” is the generation of adults responsible for their own needs as well as the care and support of both their dependent children and elderly family members. This program provides investor education resources to assist with those interested in learning more about the financial issues facing the Sandwich Generation.
Native American Outreach
Native Americans and First Nations populations have been historically under-served by investor education programs, in part, because of lack of understanding of cultural sensitivity and frequent geographical isolation. NASAA’s Native American Outreach program addresses the specific investor education needs of Native American and First Nations audiences.
United Against Investment Fraud (UAIF) (union members)
United Against Investment Fraud (UAIF) is NASAA’s Union Outreach program designed to bring investor education to working people who belong to professional and trade organizations (whether they are members of traditional unions or other types of professional or trade associations).
Law Enforcement Outreach: Securities Law 101
This program offers a series of resources for use by law enforcement officers, district attorneys and others in law enforcement and describes some common financial instruments (“securities”) that may be used in schemes to defraud investors. These resources are designed to familiarize the law enforcement community with the range of financial products that are defined as “securities” under the law and are therefore subject to state as well as federal securities laws.
NASAA’s CPA Outreach Program, Taking Fraud into Account, is designed to encourage a mutually beneficial relationship between Certified Public Accountants and securities regulators to spot and stop investment fraud. The program was developed by NASAA members for CPAs in their jurisdictions.