NASAA

We are pleased to announce that Andrea Seidt, NASAA Board Member and Commissioner of the Ohio Division of Securities, has been named as the representative of state securities commissions to the Securities and Exchange Commission’s (SEC) Investor Advisory Committee (IAC). “I am honored to be the representative of state securities commissions to the SEC’s Investor Advisory Committee,” said Andrea Seidt. “State securities regulators are on the front lines of the work to protect investors from fraud and abuse. I look forward to working with the IAC and the SEC staff in strengthening protections for investors and making sure state securities commissioners’ priorities and ideas are represented in SEC rulemaking.” Our warmest congratulations to Andrea! Details: https://lnkd.in/djf8AYUe

We know many of you are on your way home from our 2024 Fall Annual Meeting in Vancouver. Thank you for traveling and sharing your expertise, insights, and most of all, your friendship. Safe travels! In the meantime, enjoy our selection of photos from day three. #NASAAAnnual2024

We are delighted to announce that Leslie Van Buskirk, Administrator of the Division of Securities at the Wisconsin Department of Financial Institutions, has become NASAA’s President today during the 2024 NASAA Fall Annual Meeting in Vancouver, British Columbia. “I am truly honored to serve as NASAA’s President,” said Van Buskirk. “I am excited to work alongside my colleagues on the issues important to Main Street investors and look forward to advancing NASAA’s investor protection mission.” Learn more about President Van Buskirk and the new NASAA leadership: https://lnkd.in/e9s6dUUu #NASAAAnnual2024

We were thrilled to announce our nine 2024 award recipients this morning during the Fall Annual Meeting. Each was chosen for their outstanding contributions to investor protection and state securities regulation efforts. Congratulations on this well-deserved honor! Distinguished Service Award: - H. Jane Anderson, Nova Scotia Securities Commission - Anne Followell, Ohio Division of Securities - Annette Minor, Minnesota Department of Commerce - Joanne Jones, Washington Securities Division - Clint Edgar, Texas State Securities Board Meritorious Service Award: - Andy Penry, North Carolina Securities Division Outstanding Service Award: - Balbiro Kazla, California Department of Financial Protection and Innovation - Jessica Leigh Long, Mississippi Securities Division - Brett Olin, Montana Securities Department #NASAAAnnual2024

Day 2 of our 2024 Fall Annual Meeting was packed with insights and conversations about U.S. and Canadian regulatory updates, AI, investor education, and much more. Highlights included a keynote on intelligence sharing in compliance by Lawrence Deju-Wiseman, Executive Director, Surveillance Global Strategic Initiatives, Morgan Stanley. Attendees left with actionable insights and new connections. We hope you enjoy this album of photos. Feel free to share your thoughts in the comments! #NASAAAnnual2024

State and provincial securities regulators today announced multi-million dollar settlement terms with Josip Heit, GS Partners, and its affiliates. Details: https://lnkd.in/epkUWD64

We are excited to share some moments from the first day of our 2024 Fall Annual Meeting in Vancouver! Yesterday was a testament to our members’ dedication to Main Street investor protection and a wonderful gathering of colleagues and friends. What was your favorite moment from the day? Share your thoughts and experiences in the comments below! Want to join us virtually for days 2 and 3? Register here: https://lnkd.in/gDfWq87W #NASAAAnnual2024 

Our 2023-2024 Investment Adviser Section Annual Report is out. It provides a snapshot of the state-registered investment adviser industry and the related regulatory activities of state securities regulators. Read the full release: https://lnkd.in/e97irdpc

🌟 Excited to announce that the 2024 NASAA Fall Annual Meeting kicks off this Sunday, September 8, in Vancouver! 🌟 We’re looking forward to all of our panels and the insightful discussions planned. It’s going to be a fantastic opportunity to explore timely and important topics and their impact on securities regulation. We deeply appreciate the BC Securities Commission for hosting this premier event for securities regulators and the financial services industry. If you can’t join us in person, join us virtually: https://lnkd.in/gDfWq87W #NASAAAnnual2024 #SecuritiesRegulation #AI #MachineLearning

📢 Public Comment Opportunity: Proposed Amendments to NASAA Model Rules NASAA’s CRD/IARD Steering Committee is seeking public comment on proposed amendments to two NASAA model rules adopted in September 2022 to support NASAA’s Exam Validity Extension Program (EVEP): - NASAA Model Rule: Examination Requirements for Broker-Dealer Agents - NASAA Model Rule: Examination Requirements for Investment Adviser Representatives Details: https://lnkd.in/dp2SVY5C 🗓 Deadline for comments: October 3, 2024 Your input is valuable to us. Thank you for your participation! #NASAA #PublicComment #RegulatoryUpdates #FinancialServices