Judith Shaw, Chair
Maine Office of Securities
Deborah Gillis, Vice Chair
New Brunswick Financial and Consumer Services Commission
Arizona Corporation Commission Securities Division
New Mexico Division of Securities
Indiana Securities Division
Pennsylvania Department of Banking and Securities
Melanie Senter Lubin
Maryland Securities Commission
Nebraska Department of Banking & Finance Bureau of Securities
Theodore A. Miles
District of Columbia Department of Insurance, Securities and Banking
Missouri Securities Division
Hawaii Department of Commerce & Consumer Affairs
Vermont Department of Financial Regulation
Washington Securities Division
Minnesota Department of Commerce
Massachusetts Securities Division
NASAA’s Board Committee
on Senior Issues and Diminished Capacity
NASAA’s Board-level committee was created in 2014 to address a wide range of challenges confronting senior investors, regulators and securities industry professionals.
The committee includes representatives from the NASAA Board of Directors and each NASAA section (Broker-Dealer, Corporation Finance, Enforcement, Investment Adviser and Investor Education) as well as Canadian securities regulators.
The interests of senior investors is a tremendously important initiative for NASAA that transcends the work of each of our sections. NASAA members are exploring this vital area from a variety of disciplines given the scope of the issues involved.
The committee is the latest in a series of initiatives from NASAA members to protect senior investors since the launch of the Senior Investor Resource Center in 2003 and the adoption of a model rule on the use of senior-specific certifications and professional designations in 2008.
An Advisory Council of experts from government, business, senior advocacy organizations, academia and medical and legal practitioners has been appointed to help inform the committee’s work as it moves forward.
We want to hear from you.
Please use the form below to send your comments to members of the committee.