NASAA

SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College

Retrieved on: 
Tuesday, March 19, 2024
Canadian Investor Protection Fund, Securities Investor Protection Corporation, Dalton State College, Policy, University, Security (finance), Faculty, Student, Assistant commissioner of police, NASAA, Hearing

Portions of the event will be webcast on the SEC website, and in-person public attendance is welcome.

Key Points: 
  • Portions of the event will be webcast on the SEC website, and in-person public attendance is welcome.
  • SEC Chair Gary Gensler, Commissioner Caroline Crenshaw, Commissioner Mark Uyeda, and Commissioner Jaime Lizarraga will provide virtual remarks, and Commissioner Hester Peirce will attend in person.
  • I look forward to hearing from investors willing to share their diverse experiences,” said SEC Investor Advocate Cristina Martin Firvida.
  • Working together with our SEC colleagues and partners strengthens investor advocacy in Georgia.

The Standard Hires Albert Maixner as National Accounts Sales Director for Retirement Plans

Retrieved on: 
Monday, February 26, 2024
Professional Services, Insurance, Human Resources, Finance, Retirement, Standard, Principal Financial Group, Multimedia, Principal, University, The Standard, NASAA, FINRA, Pension, Financial adviser

The Standard recently hired Albert Maixner as national accounts sales director for Retirement Plans.

Key Points: 
  • The Standard recently hired Albert Maixner as national accounts sales director for Retirement Plans.
  • View the full release here: https://www.businesswire.com/news/home/20240226844355/en/
    Albert Maixner, National Accounts Sales Director for Retirement Plans at The Standard (Photo: Business Wire)
    With the significant increase in demand for innovative solutions including pooled employer plans and managed accounts for retirement, Maixner’s role enhances The Standard’s delivery of strategies and tools for advisory firms.
  • Prior to joining The Standard, he worked in retirement plan sales roles at Principal Financial Group and Prime Pensions.
  • “Albert is a talented sales leader who built deep relationships within our industry by helping firms and advisors solve problems,” said Patrick Bushlack, director of business development in Retirement Plans at The Standard.

The Standard Hires Michael Teigland as National Accounts Sales Director for Retirement Plans

Retrieved on: 
Tuesday, January 30, 2024
Legal, Professional Services, Insurance, Human Resources, Multimedia, Principal, Marketing, The Standard, Iowa State University, FINRA, Pension, NASAA, Royal Bank of Canada, Standard, Financial adviser

The Standard recently hired Michael Teigland as national accounts sales director for Retirement Plans.

Key Points: 
  • The Standard recently hired Michael Teigland as national accounts sales director for Retirement Plans.
  • With the significant increase in demand for innovative solutions including pooled employer plans and managed accounts, Teiglandl’s role enhances our delivery of strategies and tools for advisory firms.
  • View the full release here: https://www.businesswire.com/news/home/20240130688310/en/
    Michael Teigland, national accounts sales director for Retirement Plans at The Standard.
  • “Michael is an experienced leader with an impressive track record of assisting advisor partners through business plan development and relationship management,” said Patrick Bushlack, director of business development in Retirement Plans at The Standard.

OSC announces Seniors Expert Advisory Committee members for 2024

Retrieved on: 
Wednesday, January 10, 2024
Well, Volunteering, PACE, Ethics, Partner, Face, Abuse, University, Medicine, Salmon, Risk, Banking in Canada, National initiative, CIRO, Consent, Law society, Albert Einstein's brain, Decision, Social work, Old age, Dementia, Law enforcement, Policy, Rights, Law, UN, Environment, TMU, OSC, NASAA, Ageism, Education, Communication, Care, Elder abuse, Royal Bank, Person, RBC, Executive, Memory, Senior, EAPO, Ontario Securities Commission, Toronto Metropolitan University, Government, Trust, Blog, CCAA, United Nations, Nursing

TORONTO, Jan. 10, 2024 /CNW/ - The Ontario Securities Commission (OSC) today announced the membership of its Seniors Expert Advisory Committee (SEAC) for the 2024 term.

Key Points: 
  • TORONTO, Jan. 10, 2024 /CNW/ - The Ontario Securities Commission (OSC) today announced the membership of its Seniors Expert Advisory Committee (SEAC) for the 2024 term.
  • First launched in 2016, SEAC has provided valuable insights on and contributions to OSC initiatives supporting seniors, including the development and implementation of the OSC Seniors Strategy.
  • Members provide diverse perspectives on issues and challenges facing older investors, drawing on their expertise in sectors including financial services, law, law enforcement, academia, medicine and seniors' advocacy.
  • The OSC would like to thank former SEAC members Alexis Wenzowski, Harold Geller, James (Jim) Turner, Kavina Nagrani and Keith Sjorgen for their service and contributions.

Galaxy Asset Management Chief Compliance Officer Lagan Srivastava Appointed to FINRA FinTech Committee

Retrieved on: 
Thursday, December 14, 2023
Galaxy, Security (finance), Financial Industry Regulatory Authority, NASAA, FINRA, Education, TSX, Financial innovation, Fintech, Financial adviser

NEW YORK, Dec. 14, 2023 /CNW/ - Galaxy Digital Holdings Ltd. (TSX: GLXY) ("Galaxy") is pleased to announce that Galaxy Asset Management's Chief Compliance Officer, Lagan Srivastava, has been appointed to the Financial Industry Regulatory Authority (FINRA) FinTech Committee.

Key Points: 
  • NEW YORK, Dec. 14, 2023 /CNW/ - Galaxy Digital Holdings Ltd. (TSX: GLXY) ("Galaxy") is pleased to announce that Galaxy Asset Management's Chief Compliance Officer, Lagan Srivastava, has been appointed to the Financial Industry Regulatory Authority (FINRA) FinTech Committee.
  • "I'm honored to be representing Galaxy on the FINRA FinTech Committee and playing a role in advancing meaningful, common-sense regulations for the digital asset industry," said Ms. Srivastava.
  • As a self-regulatory organization, FINRA deeply values the contributions of all who lend their time and expertise to participate in this important process."
  • This appointment reaffirms Galaxy's dedication to collaborating with U.S. regulators to drive innovation while ensuring investor protection and market integrity.

2023 COMPLY Regulation Rundown Arms Compliance Leaders with a Comprehensive Overview of Dynamic Regulatory Landscape

Retrieved on: 
Thursday, August 3, 2023
Risk management, DOL, Marketing, NASAA, North American Securities Administrators Association, Gebauer, FINRA, Financial Industry Regulatory Authority, Ministry of Labour, Growth, Security (finance), Financial adviser

NEW YORK, Aug. 3, 2023 /PRNewswire/ -- COMPLY, the global market leader of compliance software, consulting and education resources for the financial services sector, published its 2023 Regulation Rundown, a comprehensive review of recent regulatory changes and enhancements as well as proposed amendments and rules from most financial services regulatory agencies and associations. The whitepaper aims to empower compliance professionals across the sector with insights to navigate the intricacies and nuances of the recent changes with confidence, avoiding violation and driving continued growth.

Key Points: 
  • The rules selected and outlined in this guide include those proposed, adopted and enacted since 2022.
  • Summaries of regulations were taken from the original proposal text, or the webpage dedicated to that regulation, as of August 01, 2023.
  • COMPLY's team of experts meticulously researched and analyzed the material to distill the most relevant rules and information for this publication.
  • The past few years have seen a wave of changes to financial services regulations, which COMPLY Chief Regulatory Officer John Gebauer has classified as an unprecedented period of regulatory rulemaking.

SEC, NASAA, and Wisconsin DFI to host Investor Roundtable in Madison, Wisconsin on July 25

Retrieved on: 
Friday, July 21, 2023
Securities Investor Protection Corporation, North American Securities Administrators Association, Canadian Investor Protection Fund, Wisconsin Department of Financial Institutions, Financial institution, NASAA, SIPC, DFI, Security (finance), Music, Financial adviser

The afternoon session of the roundtable will be webcast on the SEC website.

Key Points: 
  • The afternoon session of the roundtable will be webcast on the SEC website.
  • SEC Chair Gary Gensler will provide virtual opening remarks, and SEC Commissioner Mark Uyeda will attend in-person.
  • I look forward to welcoming our SEC colleagues, and further strengthening investor advocacy in Wisconsin,” said Leslie Van Buskirk , Wisconsin Department of Financial Institutions Securities Division Administrator and Vice Chair of the SEC’s Investor Advisory Committee .
  • Location:          Wisconsin Department of Financial Institutions Headquarters, Hill Farms State Office Building - 4822 Madison Yards Way, Madison, WI 53705

The Standard has Promoted Tony Soble to Regional Vice President for DCIO Sales

Retrieved on: 
Wednesday, July 19, 2023
Professional Services, Human Resources, Finance, FINRA, NASAA, OneAmerica Financial Partners, Broward College, Principal, Principal Financial Group, Head, The Standard, TPA, Standard, Associate, Financial adviser

The Standard announced the promotion of Tony Soble to the expanding stable value team.

Key Points: 
  • The Standard announced the promotion of Tony Soble to the expanding stable value team.
  • He will work with advisors, outside platform wholesalers and third-party administrators in his role as regional vice president for Defined Contribution Investment Only sales.
  • Soble has more than 17 years of experience in the retirement plan and financial services industry.
  • “Tony’s experience with qualified plans will be a tremendous benefit to both The Standard and our advisor partners,” said Scott Kaplan, assistant vice president and head of institutional products for The Standard.

SEC, NASAA, FINRA to Co-Host Webinar on Identifying and Reporting Suspected Senior Financial Exploitation

Retrieved on: 
Wednesday, June 7, 2023
Professional Services, Consumer, Seniors, Finance, Asset Management, Consulting, Accounting, United Nations, Elder abuse, North American Securities Administrators Association, Act, Child Rights International Network, Person, Senior, NASAA, United, FINRA, The Act, Security (finance), World Health Organization, Financial adviser, Nursing

The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation .

Key Points: 
  • The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation .
  • The discussion will build on the SEC, NASAA and FINRA’s joint training released in 2021 on Addressing and Reporting Financial Exploitation of Seniors and Vulnerable Adult Investors .
  • “FINRA continues to build upon our commitment to protecting senior investors by delivering important training opportunities and resources to help prevent financial exploitation,” said FINRA Foundation President Gerri Walsh .
  • The Act removes barriers financial professionals face in reporting suspected senior financial exploitation or abuse to authorities.

The Standard Promotes Brody Geist to Divisional Vice President — West

Retrieved on: 
Monday, May 15, 2023
Professional Services, Technology, Insurance, Finance, Software, Fintech, Cloud, FINRA, Securian Financial Group, NASAA, Small business, Standard, Multimedia, The Standard, Geist, St. Cloud State University, Marketing, Financial adviser

Brody Geist has been promoted to divisional vice president--West in Retirement Sales at The Standard. He will work with advisors and third-party administrators in the western United States. (Photo: Business Wire)

Key Points: 
  • The Standard announced the promotion of Brody Geist to divisional vice president.
  • View the full release here: https://www.businesswire.com/news/home/20230515005213/en/
    Brody Geist has been promoted to divisional vice president--West in Retirement Sales at The Standard.
  • He held previous roles at Securian Financial as senior regional vice president, major accounts retirement sales, small business retirement sales, and assistant vice president of sales.
  • “Brody possesses a great deal of credibility inside and outside of our organization,” said Jason Burlie, head of retirement sales for The Standard.