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ARTICLE · 28 SEPTEMBER 2021

NASAA President Identifies Priorities For The Year Ahead

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At the 2021 NASAA Annual Conference, new President Melanie Senter Lubin identified priorities for the coming year.

United StatesTechnology
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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At the 2021 North American Securities Administrators Association ("NASAA") Annual Conference, new President Melanie Senter Lubin identified priorities for the coming year.

In her address, Ms. Lubin said the Association will focus on:

  • coordination with the SEC and FINRA to tighten the process regarding the expungement of negative information as to securities industry employees;
  • assessments of evolving Regulation Best Interest statutes and regulations, informed by recommendations from the NASAA Regulation Best Interest Implementation Committee;
  • regulation of cryptocurrencies, digital assets and commission-free platforms; and
  • "Diversity, Equity and Inclusion" issues (see previous coverage here).

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