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Search Results for: senior specialists

Seniors at Risk From Financial Fraud

Survey of State Securities Regulators Highlights Seniors as Most Vulnerable and the Need for Better Fraud Detection WASHINGTON, D.C. (August 21,…

Senior Issues

NASAA SENIOR RESOURCES NASAA and its members have been in the forefront in detecting the problem of senior investor abuse…

Cybercriminals and Fraudsters: How Bad Actors Are Exploiting the Financial System During the COVID-19 Pandemic

Written Testimony of Amanda SennAlabama Securities Commission Chief Deputy Director and NASAA Cybersecurity Committee ChairOn behalf of the North American Securities…

NASAA, SEC and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention, and Reporting of Financial Exploitation of Seniors

Regulators Providing Free Training in Recognition of World Elder Abuse Awareness Day; Program Aims to Assist Firms in Implementing Requirements…

NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors

          Washington, D.C., Aug. 13, 2010 – The Securities and Exchange Commission, Financial Industry Regulatory Authority…

California Gov. Schwarzenegger Signs Senior Investor Protection Legislation Into Law

California and Alabama Join Growing Number of States to Adopt Provisions Based on NASAA Model Rule on the Use of…

State Securities Regulators Voice Strong Support For Senior Investment Protection Act

NASAA Applauds Sen. Herb Kohl’s Leadership in the Ongoing Fight Against Senior Investment Fraud WASHINGTON, D.C., May 4, 2009—The North…

SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors

Washington, D.C., February 8, 2008 – The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and…

SEC and NASAA Launch Program to Protect Senior Investors

Joint Initiative Includes Aggressive Enforcement, Targeted Examinations, and Investor Education and Outreach Programs Washington, D.C. (May 8, 2006) – Securities and…

NASAA Study Examines Broker-Dealer Senior Practices and Procedures

Study Shows How Firms Can Help to Guard Senior Investors From Harm Download full report WASHINGTON, D.C. (June 15, 2017)…
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
750 First Street NE, Suite 990
Washington, DC 20002
202-737-0900
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
750 First Street NE, Suite 990
Washington, DC 20002
202-737-0900
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