The North American Securities Administrators Association issued a guide to assist broker-dealer and investment adviser firms to develop procedures for addressing instances of "diminished capacity" and senior financial exploitation.
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During a "Senior$afe Training Week," the North American Securities Administrators Association will offer a program to prepare state regulators to teach broker-dealers and investment advisers how to identify signs of the financial abuse of seniors.
In a set of recommendations to Congress, the North American Securities Administrators Association emphasized protections for retail investors, seniors and securities markets, as well as the continued "empowerment" of state regulatory authorities.
The North American Securities Administrators Association published a study of practices and procedures used by broker-dealers to protect senior investors from financial abuse.
The North American Securities Administrators Association warned investors about the risks associated with Initial Coin Offerings and other cryptocurrency-related investment products.