Effective industry compliance and supervision will help ensure that the financial needs of a growing senior population are being met by brokers, investment advisers and others in the financial services industry.
Resources for Industry
NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation ►
NASAA Model Rule on Senior-specific Certifications and Professional Designations ►
Practices and Procedures Guide ►
NASAA Study of Broker-Dealer Senior Practices and Procedures ►
NASAA Committee on Senior Issues & Diminished Capacity ►
Senior Issues Advisory Council ►
NASAA Testimony ►
NASAA Comment Letters ►
Senior$afe Training Calendar ►
Visit our interactive map to contact your state or provincial securities regulator and to find other resources for seniors.