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

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. 

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

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

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

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

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

A 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 1)