Page 24 - 2013_2014 NASAA report

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NASAA Activity | Sections

Broker-Dealer

Overview 2013-2014 Section Committee 2012-2013 Section Committee

Te point-of-sale contact that broker-dealers have with Bryan Lantagne (MA), Co-Chair John Cronin (VT), Chair
investors makes the work of the Broker-Dealer Section critical Tanya Solov (IL), Co-Chair Marc Minor (NY), Vice Chair
in achieving NASAAs mission of investor protection. Te Pamela Epting (FL) Bryan Lantagne (MA)
Section focuses on issues involving broker-dealers and agents, Michael Youngberg (SD) Tanya Solov (IL)
such as arbitration, qualifcation and licensing requirements, Chris Besko (MB) Michael Youngberg (SD)
record keeping and compliance requirements, continuing Joseph Brady (NASAA) Chris Besko (MB)
education, and practices involving investors. Te Section ofers Joe Opron (NASAA)
ofcial comments on rule proposals; participates in discussions
with industry, SROs, and federal regulators regarding trends
and concerns in the brokerage industry; and provides guidance 2013-2014 Project Group Chairs 2012-2013 Project Group Chairs
to states on broker-dealer issues. Te Section oversees the
activities of its project groups: Arbitration, Continuing Leslie Van Buskirk (WI) Leslie Van Buskirk (WI)
Education, Exams Advisory, Investment Products/Services, Arbitration Arbitration
Market and Regulatory Policy and Review, Operations and Linda Bailey (TX) John Cronin (VT)
Variable Annuities. In addition, the Section works closely with Continuing Education Continuing Education
the CRD/IARD Steering Committee. William Cahill (MA) William Cahill (MA)
BD Exams Advisory BD Exams Advisory
Carol Anne Foehl (MA), Chair Carol Anne Foehl (MA)
Investment Products/Services Investment Products/Services
Carolyn Mendelson (PA) Carolyn Mendelson (PA)
Market & Reg. Policy/Review Market & Reg. Policy/Review
James Nix (IL), Chair Tanya Solov (IL)
Operations Mergers & Acquisitions/Finders
Mark Kissler (WA), Chair James Nix (IL)
Variable Annuities Operations
Mark Kissler (WA)
Variable Annuities

Arbitration Project Group Chair Leslie Van Buskirk of
Wisconsin listens as 2012-2013 Broker-Dealer Section
Chair John Cronin of Vermont addresses attendees at
NASAAs annual conference in Salt Lake City.

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