Keeping Securities Safe | OAS Episode 165

Our focus in this podcast is state securities administrators. These are the agencies in every state that oversee investor protection and efficient capital formation. Their key focus is protecting consumers who purchase investment advice or securities. Guests on the podcast are Melanie Senter Lubin, the Maryland securities commissioner and president of the North American Securities Administrators Association, and Faith Anderson, the chief of Registration and Regulatory Affairs of the Securities Division of the Washington state Department of Financial Institutions. They discussed the various roles state securities regulators play, the assistance they can offer state legislators and legislative staff, and how state regulators work with their federal counterparts. They also sketched out their perspective on a variety of policy topics, including licensing and digital currency. Both Lubin and Anderson also wanted legislators to know that the securities regulars in your state are always available to answer questions for you or your constituents.

NCSL Podcasts · Melanie Senter Lubin, Faith Anderson, Ed Smith