Combating Elder Abuse Requires More Than Raising Awareness
NASAA is drafting model legislation to address how broker-dealers and advisors should respond when they suspect or detect senior financial exploitation.
Protecting Grandma From Elder Abuse
Imagine a broker driving an 83-year-old widow with Alzheimer's to local banks so that she can withdraw over $1 million from CDs.
Beatty Begins 1-Year Term as NASAA President
William Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
NASAA Names Abshure as President
A. Heath Abshure, Arkansas securities commissioner, began Tuesday a one-year term as president of NASAA, replacing Jack Herstein.
Agenda Set for D.C. Seniors Summit
NASD fraud study to be unveiled at July 17 gathering
On March 29, NASD Executive VP of Regulatory Policy and Oversight Elisse Walter testified before the Senate Committee on Aging regarding investment fraud targeting the...
Securities Administrators Advise SEC to Boost Hedg
NEW YORK (HedgeWorld.com)--The North American Securities Administrators Association suggested five areas for increased hedge fund regulation in a July 8th letter to the Securities and...