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Latest Episode

EPISODE 9 October 2020: This episode features a conversation with Ohio Securities Commissioner Andrea Seidt about the Regulation Best Interest Examination Report.

EPISODE 8 September 2020: This episode features a conversation between the former NASAA President and Chief of Jersey Bureau of Securities Christopher Gerold and current President and Senior Deputy Commissioner of West Virginia Securities Commission Lisa Hopkins. 

EPISODE 7 February 2020: A conversation on Women’s History Month,¬† the unique financial challenges facing women and how NASAA members are responding.

EPISODE 6 December 2019: A conversation with Ohio Securities Commissioner Andrea Seidt on state-registered investment advisers and cybersecurity.

EPISODE 5 September 2019: A fireside chat with FINRA CEO and President Robert Cook on current regulatory issues.

NASAA Talks Senior Investor Protection with SEC

EPISODE 4 September 2019: A conversation with SEC Commissioner Elad Roisman on a collaborative approach to senior investor protection.

EPISODE 3 June 2019: A conversation with Maine Securities Administrator Judith Shaw on NASAA senior investor protection initiatives.

EPISODE 2 February 2019: A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael on NASAA legislative priorities. (Part 2)

EPISODE 1 February 2019: A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael on NASAA legislative priorities.