NASAA Board Committee on Senior Issues & Diminished Capacity
Judith Shaw, Chair
Maine Office of Securities
Carolyn Mendelson, Vice Chair
Pennsylvania Department of Banking and Securities
New Mexico Division of Securities
New Brunswick Financial and Consumer Services Commission
Indiana Securities Division
Office of the Kansas Securities Commissioner
Melanie Senter Lubin
Maryland Securities Commission
Vermont Department of Financial Regulation
Iowa Securities Bureau
Missouri Securities Division
Washington Securities Division
North Dakota Securities Commission
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.
Visit our interactive map to contact your state or provincial securities regulator and to find other resources for seniors.