<![CDATA[NASAA Talks]]>Mon, 16 Jan 2023 15:25:06 +0000Captivate.fmNASAAhttps://artwork.captivate.fm/bb32d580-b7af-4e3e-9f58-9ce745a7898d/Ox49PIMjgL9R4tpUIdrun5yN.pngNASAA TalksNASAANASAANASAA Talks is a podcast on issues of interest to investors, policymakers, and the securities regulation industry.https://nasaa-talks.captivate.fmnoepisodicThe MetaverseThe MetaverseThis 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 metaverse, and the role played by state and provincial securities regulators in protecting investors who invest in the metaverse.

]]>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 metaverse, and the role played by state and provincial securities regulators in protecting investors who invest in the metaverse.

]]>13ee93fe-b9f0-48c3-bd03-6e3d8c4934e2Thu, 07 Jul 2022 09:00:00 -050031:23nofull19NASAANASAA’s Senior Issues and Diminished Capacity Committee Presents: Financial Services Industry Experts SpeakNASAA’s Senior Issues and Diminished Capacity Committee Presents: Financial Services Industry Experts SpeakEpisode 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 vulnerable investor harm.

]]>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 vulnerable investor harm.

]]>18bb35bb-f76b-479c-ab5f-af73acd8a8f6Wed, 06 Jul 2022 09:00:00 -050001:29:56nofull18NASAAIntroducing "NASAA’s Senior Issues and Diminished Capacity Committee Presents"Introducing "NASAA’s Senior Issues and Diminished Capacity Committee Presents"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 those dealing with at-risk investors.

The webcast episode you’re about to hear featured the theme “Cognition, Problems and Solutions” and addressed new ways to better understand the brain and cognition. The presenters in this recording discussed how environment, age, gender, and other factors can impact an investor’s ability to make sound financial decisions and the steps to be taken to prevent financial exploitation.

]]>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 those dealing with at-risk investors.

The webcast episode you’re about to hear featured the theme “Cognition, Problems and Solutions” and addressed new ways to better understand the brain and cognition. The presenters in this recording discussed how environment, age, gender, and other factors can impact an investor’s ability to make sound financial decisions and the steps to be taken to prevent financial exploitation.

]]>39f25329-134d-423c-90dd-f02d59291af3Thu, 10 Mar 2022 09:00:00 -050001:13:53nofull17NASAA2022 Top Investor Threats2022 Top Investor Threats16 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 are, and why all investors should be concerned.

]]>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 are, and why all investors should be concerned.

]]>fc7167f1-0772-4291-b35e-528a6df4650eWed, 23 Feb 2022 09:00:00 -050028:02nofull16NASAAInvestor EducationInvestor EducationThis 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.

]]>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.

]]>d9a9d209-5f53-4e91-9768-0b9b7f817529Tue, 28 Dec 2021 09:00:00 -050010:59nofull15NASAA2021 Regulation Best Interest Phase Two Report2021 Regulation Best Interest Phase Two ReportChair 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 policies and practices following the implementation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission.

]]>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 policies and practices following the implementation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission.

]]>75521593-0c41-4d2c-8581-7e2e4f51fbaeTue, 23 Nov 2021 09:00:00 -050019:01nofull14NASAATrusted ContactsTrusted ContactsNASAA 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 contacts, and how this collaborative works to protect all investors and their investments. 

]]>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 contacts, and how this collaborative works to protect all investors and their investments. 

]]>f8755c5c-a95b-4434-971a-8b49974e6dd4Mon, 01 Nov 2021 09:00:00 -050011:15nofull13NASAANASAA President Melanie Senter Lubin Discusses NASAA’s Year AheadNASAA President Melanie Senter Lubin Discusses NASAA’s Year AheadThis episode profiles current NASAA President and Maryland Securities Commissioner Melanie Senter Lubin.

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

]]>ba115bb5-c892-4a92-aeb6-5f12785c487cThu, 07 Oct 2021 09:00:00 -050012:15nofull12NASAAModel Whistleblower Award and Protection ActModel Whistleblower Award and Protection ActThis 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.

]]>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.

]]>7be50321-537c-4d57-872c-b13b064b8b36Wed, 01 Sep 2021 09:00:00 -050018:01nofull11NASAAInvestment Advisor Representative Continuing EducationInvestment Advisor Representative Continuing EducationThis episode features a conversation with Michigan’s Examination and Licensing Manager Linda Cena about the IAR CE Model rule.

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

]]>8b28faa3-f0a2-46fa-b23d-db6df68d8ac8Sun, 10 Jan 2021 09:00:00 -050013:03nofull10NASAARegulation Best Interest Examination ReportRegulation Best Interest Examination ReportThis episode features a conversation with Ohio Securities Commissioner Andrea Seidt about the Regulation Best Interest Examination Report.

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

]]>123d3b25-0faa-422e-bdee-0674400b560bFri, 09 Oct 2020 09:00:00 -050021:44nofull9NASAAPresidential Fireside ChatPresidential Fireside ChatThis 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. 

]]>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. 

]]>c7f0b8b8-f62e-44bd-a5f2-9c7969e7ebc4Tue, 08 Sep 2020 09:00:00 -050020:06nofull8NASAAWomen's Financial IndependenceWomen's Financial IndependenceA conversation on Women’s History Month, the unique financial challenges facing women and how NASAA members are responding.

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

]]>5bb56870-7d0c-4d5d-85c0-dd5ae463450cFri, 07 Feb 2020 09:00:00 -050013:31nofull7NASAAInvestment Advisers and CybersecurityInvestment Advisers and CybersecurityA conversation with Ohio Securities Commissioner Andrea Seidt on state-registered investment advisers and cybersecurity.

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

]]>c337f2ff-810a-4e7d-a50b-8fd34cb9ba93Sun, 01 Dec 2019 09:00:00 -050013:56nofull6NASAAFireside chat with FINRAFireside chat with FINRAA fireside chat with FINRA CEO and President Robert Cook on current regulatory issues.

]]>A fireside chat with FINRA CEO and President Robert Cook on current regulatory issues.

]]>30a13353-90d5-4755-93d5-4e3362a90958Thu, 05 Sep 2019 09:00:00 -050019:07nofull5NASAASenior Investor Protection with SECSenior Investor Protection with SECA conversation with SEC Commissioner Elad Roisman on a collaborative approach to senior investor protection.

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

]]>790f4277-df5d-43ed-8ba5-18b80b48732bWed, 04 Sep 2019 09:00:00 -050018:01nofull4NASAASenior Investor ProtectionSenior Investor ProtectionA conversation with Maine Securities Administrator Judith Shaw on NASAA senior investor protection initiatives.

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

]]>65ccc89e-f02d-4fc5-8ff9-d65fc4d34381Mon, 03 Jun 2019 09:00:00 -050021:29nofull3NASAANASAA Legislative Agenda Part 2NASAA Legislative Agenda Part 2A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael Pieciak on NASAA legislative priorities. (Part 2)

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

]]>bb8de70b-a38a-4517-8949-a2aa01f968d8Sat, 02 Feb 2019 09:00:00 -050014:02nofull2NASAANASAA Legislative Agenda Part 1NASAA Legislative Agenda Part 1A conversation with NASAA President and Vermont Commissioner of Financial Regulation Michael Pieciak on NASAA legislative priorities. (Part 1)

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

]]>dde58897-1ba2-4b2f-87cf-3a7ee19f75daFri, 01 Feb 2019 09:00:00 -050015:16nofull1NASAA