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Latest Episode

EPISODE 19 July 2022: This episode highlights the metaverse, with commentary from Joseph Rotunda, Vice Chair of the North American Securities Administrators Association’s Enforcement Section Committee, and Director of the Texas State Securities Board Enforcement Division. Rotunda will describe what the metaverse is, discuss the risks of investing in the unregulated metaverse, and the role played by state and provincial securities regulators in protecting investors who invest in the metaverse.

 

 

Previous Episodes

EPISODE 18 July 2022: This episode features the latest episode of NASAA’s webcast series, NASAA’s Senior Issues and Diminished Capacity Committee Presents. It addresses the theme “Financial Services Industry Experts Speak.” In this recording, speakers from the financial services industry discuss how they work within their firms and with other stakeholders to mitigate vulnerable investor harm.

 

 

EPISODE 17 March 2022: This episode features the launch of NASAA’s new webcast series, “NASAA’s Senior Issues and Diminished Capacity Committee Presents.” This webcast series was developed by NASAA’s Senior Issues and Diminished Capacity Committee to provide an inclusive platform for learning from the best and brightest minds who will discuss issues that matter most to those dealing with at-risk investors.

EPISODE 16 February 2022: This episode focuses on NASAA’s 2022 Top Investor Threats. Joseph P. Borg, NASAA Co-Chair of the Enforcement Section Committee and Director of the Alabama Securities Commission, and Joseph Rotunda, NASAA Vice Chair of the Enforcement Section Committee and Director of the Texas State Securities Board Enforcement Division, will describe what these top threats are, and why all investors should be concerned.

EPISODE 15 December 2021: This episode highlights NASAA’s investor education efforts, with commentary from Tom Cotter, Co-chair of NASAA’s Investor Education Section Committee and Alberta Securities Commission Vice-Chair; and Jillian Lazar, Co-chair of NASAA’s Investor Education Section Committee and Director of Investor Protection with the Delaware Department of Justice.

EPISODE 14 November 2021: Chair of NASAA’s Regulation Best Interest Implementation Committee and Ohio Securities Commissioner Andrea Seidt discusses notable findings from NASAA’s 2021 Reg BI Phase Two Report. The report announced the results of a nationwide survey conducted by state securities regulators that provided the first comprehensive look at broker-dealer industry policies and practices following the implementation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission.

EPISODE 13 November 2021:  NASAA Senior Issues and Diminished Capacity Committee Chair and Washington State Department of Financial Institutions’ Licensing and Examination Supervisor Kristen Standifer describes what a trusted contact is and how it can help protect investors from fraud. She also describes NASAA’s recent joint announcement with the SEC and FINRA on trusted contacts, and how this collaborative works to protect all investors and their investments.

EPISODE 12 October 2021: Current NASAA President and Maryland Securities Commissioner Melanie Senter Lubin discusses NASAA’s year ahead.

EPISODE 11 September 2021: This episode highlights the NASAA Model Whistleblower Award and Protection Act. Our conversation features Washington Chief of Registration & Regulatory Affairs Faith Anderson and Montana Deputy Securities Commissioner Lynne Egan.

EPISODE 10 January 2021: This episode features a conversation with Michigan’s Examination and Licensing Manager Linda Cena about the IAR CE Model rule.

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.

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 Pieciak on NASAA legislative priorities. (Part 2)

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