Latest Episode
NASAA Talks Investment Adviser Representative Continuing Education
EPISODE 10 January 2021: This episode features a conversation with Michigan’s Examination and Licensing Manager Linda Cena about the IAR CE Model rule.
Previous Episodes
NASAA Talks Regulation Best Interest Examination Report
EPISODE 9 October 2020: This episode features a conversation with Ohio Securities Commissioner Andrea Seidt about the Regulation Best Interest Examination Report.
NASAA Talks Presidential Fireside Chat
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.
NASAA Talks Women's Financial Independence
EPISODE 7 February 2020: A conversation on Women’s History Month, the unique financial challenges facing women and how NASAA members are responding.
NASAA Talks Investment Advisers and Cybersecurity
EPISODE 6 December 2019: A conversation with Ohio Securities Commissioner Andrea Seidt on state-registered investment advisers and cybersecurity.
NASAA Talks Fireside chat with FINRA
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.
NASAA Talks Senior Investor Protection
EPISODE 3 June 2019: A conversation with Maine Securities Administrator Judith Shaw on NASAA senior investor protection initiatives.
NASAA Talks Legislative Agenda Part 2
EPISODE 2 February 2019: A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael on NASAA legislative priorities. (Part 2)
NASAA Talks Legislative Agenda Part 1
EPISODE 1 February 2019: A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael on NASAA legislative priorities.
