Behavioral Research / IA Systems and Solutions

Behavioral Research / IA Systems and Solutions
NASAA's Senior Issues Committee Presents: Behavioral Research/IA Systems and Solutions

NASAA is pleased to announce the next installment of NASAA’s Senior Issues Committee Presents.  There will be two learning segments.  In the first, we will present research about the effects of gamification, digital engagement and the recent volatile market environments on investor behavior.  In the second, industry experts will discuss systems and solutions for Investment Advisers encountering senior and vulnerable investor fraud, including how to construct and manage systems to mitigate harm and execute quickly when needed to stop abuse or exploitation.


This complimentary two-hour event is open to the public as well as NASAA’s membership and is designed for anyone interested in learning more about at-risk investor protection issues.  CLE credits will be available on a self-reporting basis.

Click Here To Register

May 18, 2023

2:30 p.m. ET | 1:30 p.m. CT | 12:30 p.m. MT | 11:30 a.m. PT

Welcoming Remarks

  • Andrew Hartnett, NASAA President and Deputy Commissioner, Iowa Insurance Division

Program Host

  • Richard Szuch, Chair, NASAA’s Senior Issues Committee, New Jersey Bureau of Securities

Panel Guests

  • Tyler Fleming, Ontario Securities Commission
  • William Nelson, Investment Adviser Association
  • Meera Paleja, PhD, Ontario Securities Commission
  • Jennifer Szaro, CRCP, XML Financial Group
  • Olivia Valdes, PhD, FINRA Investor Education Foundation
  • Gerri Walsh, FINRA Investor Education Foundation
  • Rodnee Warr, Wells Fargo Advisors

Segment 1: Investor Behavior Research

The Ontario Securities Commission examined the impact of trading platforms’ use of gamification and other behavioral techniques on investing behavior. The studies showed that certain gamification and other related behavioral techniques had a direct and adverse impact on retail investor behaviors.

  • Tyler Fleming and Meera Paleja, Ontario Securities Commission

The FINRA Investor Education Foundation examined how the behaviors, knowledge, motivations, and information sources of investors, who started investing in 2020, have changed since entering the markets.  The Foundation also collected data on investors who opened their first non-retirement account in 2021 (or after) to compare this new cohort of investors to those who first entered the markets in 2020.  

  • Gerri Walsh and Olivia Valdes, FINRA Investor Education Foundation

Segment 2: Investment Advisory Firms and Programs to Mitigate At-Risk Investor Harm
This panel of experts will describe how to construct programs to detect and prevent exploitation and abuse in the Investment Advisory space.  Hear how they train client-facing persons, educate their client base and collaborate with securities and adult protective services agencies. 

  • William Nelson, Investment Adviser Association
  • Jennifer Szaro, XML Financial Group
  • Rodnee Warr, Wells Fargo Advisors

Meet Your Speakers

Andrew Hartnett
NASAA President and Deputy Commissioner
Iowa Insurance Division

Richard Szuch
Chair, NASAA’s Senior Issues Committee
New Jersey Bureau of Securities

Tyler Fleming
Director, Investor Office
Ontario Securities Commission

William Nelson
Associate General Counsel
Investment Adviser Associatio

Meera Paleja, PhD
Program Head, Investor Research and Behavioral Insights
Ontario Securities Commission

Jennifer Szaro
Chief Compliance Officer
XML Financial Group

Olivia Valdes
Associate Principal Research Analyst
FINRA Investor Education Foundation

Gerri Walsh
FINRA Investor Education Foundation

Rodnee Warr
Elder Client Initiatives Manager
Wells Fargo Advisors

Click Here To Register

Registration Instruction  

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 5: Click on "NASAA's Senior Issues and Diminished Capacity Committee Presents: Financial Services Industry Experts Speak.
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Step 7: Click on the black "Register (free)" button to complete registration.
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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.

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