NASAA's Senior Issues and Diminished Capacity Committee Presents:
Securities Regulators and Adult Protective Services Agents Speak
We are pleased to announce the third installment of NASAA’s Senior Issues and Diminished Capacity Committee Presents series of webinars. Hear directly from knowledgeable securities regulators and adult protective services professionals who work in the trenches to combat at-risk investor abuses. They will discuss the issues that they confront and the methods that they use to mitigate exploitation.
Our Panel will discuss new trends that they see, enforcement work to stop the frauds, multidisciplinary teams working at the local, state and federal level, training and education initiatives and more. There will be detailed discussion about how the SEC, FINRA, the States and APS agencies work together, and separately, in this space.
This complimentary, 90-minute webinar is open to the public as well as NASAA’s membership and will provide benefits to anyone who is interested in learning more about vulnerable/retirement-stage investor protection issues.
Click Here To Register
November 3, 2022
2:30 p.m. EDT | 1:30 p.m. CDT | 12:30 p.m. MDT | 11:30 a.m. PDT
- Andrew Hartnett, NASAA President and Deputy Administrator for Securities, Iowa Insurance Division
- Richard Szuch, Chair, NASAA’s Senior Issues and Diminished Capacity Committee, New Jersey Bureau of Securities
- Suzanne McGovern, Securities and Exchange Commission
- Amanda Senn, Alabama Securities Commission
- Joseph Snyder, National Adult Protective Services Association (retired)
- Jennifer Spoeri, National Adult Protective Services Association
- Jeanette Wingler, FINRA
- Jim Wrona, FINRA
CLE credits will be available on a self-reporting basis.
Click Here To Register
Step 1: Click on "Click Here to Register" above.
Step 2: Once you get to NASAA Learning, click on "Log In."
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Step 4: If you do not have an account with NASAA's website, click on "Create a new Account".
Step 5: Click on "NASAA's Senior Issues and Diminished Capacity Committee Presents: Financial Services Industry Experts Speak.
Step 6: Click on "Register Here."
Step 7: Click on the black "Register (free)" button to complete registration.
Step 8: "You are Registered" should appear on the top right of the page.
Step 9: Check your email for a registration confirmation. The instructions to log into the virtual meeting will be sent to you prior to the event.
For additional information please email us at firstname.lastname@example.org.