image showcase

EPISODES

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


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


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


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



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


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