Industry

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 
Reports
Senior$afe Training Calendar ►

Senior Connection

North American Securities Administrators Association (NASAA)Visit our interactive map to contact your state or provincial securities regulator and to find other resources for seniors.

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