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 ►
Senior Safe Act Fact Sheet ►
NASAA/SEC/FINRA Training for the Securities Industry ►
NASAA Committee on Senior Issues & Diminished Capacity ►
Senior Issues Advisory Council ►
NASAA Testimony ►
NASAA Comment Letters ►
Reports ►