Av National Association of State Approving Agencies (NASAA)

Av National Association of State Approving Agencies (NASAA)

Cathy McGruder of the Mississippi State Approving Agency details her journey as the spouse of a servicemember who transitioned back into civilian life after a long military career.Av National Association of State Approving Agencies (NASAA)

Cleo Wallace of the Louisiana State Approving Agency details his story of joining his state's organization.Av National Association of State Approving Agencies (NASAA)

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 meta…

Episode 18 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 vuln…

A conversation with Dr. Joe Wescott, National Legislative Liaison of the National Association of State Approving AgenciesAv National Association of State Approving Agencies (NASAA)

Troy Tissue of the Michigan State Approving Agency discusses the importance of veterans becoming familiar with and utilizing available resources available to themAv National Association of State Approving Agencies (NASAA)

Annie Walker of the Virginia State Approving Agency speaks on her experience as someone who followed a non-traditional path into the military and about her transition back to civilian life.Av National Association of State Approving Agencies (NASAA)

Olayta Rigsby of the Maryland State Approving Agency talks about the importance of preparing for life after a military career.Av National Association of State Approving Agencies (NASAA)

Frank Myers of the South Carolina State Approving Agency discusses the twists and turns of his military career and transition to working for the benefit of other veterans.Av National Association of State Approving Agencies (NASAA)

Mitch Curry, formerly of the Tennessee State Approving Agency, discusses his entry into the military and his own transition into working on behalf of military veterans.Av National Association of State Approving Agencies (NASAA)

Barry Goode of the Georgia State Approving Agency discusses his transition from active-duty military to veteran status.Av National Association of State Approving Agencies (NASAA)

Former military "brat" Ruth Braxton of the Mississippi State Approving Agency discusses her reasons joining that agency.Av National Association of State Approving Agencies (NASAA)

Episode 17 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 tho…

16 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 …

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.…

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 announces the results of a nationwide survey conducted by state securities regulators that provides the first comprehensive look at broker-dealer industry p…

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 con…

This episode profiles current NASAA President and Maryland Securities Commissioner Melanie Senter Lubin.Av NASAA

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.Av NASAA

This episode features a conversation with Michigan’s Examination and Licensing Manager Linda Cena about the IAR CE Model rule.Av NASAA

This episode features a conversation with Ohio Securities Commissioner Andrea Seidt about the Regulation Best Interest Examination Report.Av NASAA

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.Av NASAA

A conversation on Women’s History Month, the unique financial challenges facing women and how NASAA members are responding.Av NASAA

A conversation with Ohio Securities Commissioner Andrea Seidt on state-registered investment advisers and cybersecurity.Av NASAA

A fireside chat with FINRA CEO and President Robert Cook on current regulatory issues.Av NASAA

A conversation with SEC Commissioner Elad Roisman on a collaborative approach to senior investor protection.Av NASAA

A conversation with Maine Securities Administrator Judith Shaw on NASAA senior investor protection initiatives.Av NASAA

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

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