FacultyFaculty/Author Profile

Melanie Senter Lubin

Office of the Attorney General for Maryland
Securities Commissioner
Baltimore, MD, USA


Melanie Senter Lubin was appointed by the Maryland Attorney General as the Maryland Securities Commissioner for the Securities Division, Office of the Attorney General.  Before becoming Commissioner, Ms. Lubin serves as the Deputy Securities Commissioner and as an Assistant Attorney General and Chief of both the Investment Adviser/Broker-Dealer and Securities Registration Units.  Ms. Lubin is serving her fourth term as a member of the Board of Directors of the North American Securities Administrators Association (NASAA) and also served as NASAA’s Treasurer.  She serves as the state securities representative on the Financial Stability Oversight Council (FSOC). Ms. Lubin is the current chair of NASAA’s Central Registration Depository/Investment Advisor Registration Database (IARD) Steering Committee, and is a member of NASAA’s Expungement Policy Task Force, its Senior Issues/Diminished Capacity task force, and its Federal Legislation and Electronic Filing Depository project groups.  Because of her focus on the regulation of financial professionals, Ms. Lubin chaired NASAA’s Dodd-Frank Investment Adviser Switch project and has served the organization in numerous other capacities including chair of the Investment Adviser Section.  Ms. Lubin was the first recipient of NASAA’s Investment Adviser Distinguished Service Award and has received NASAA’s Blue Sky Cube, the top honor that the association awards.
Melanie Senter Lubin is associated with the following items:
Web Segment  Web Segment Broker/Dealer: State Enforcement Initiatives, Developments and Priorities - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
CHB Chapters  CHB Chapters Outline: State BD Regulation & Enforcement - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
NASAA Broker-Dealer Section Study of Senior Practices and Procedures, 2016–2017 - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
Memorandum of Understanding Regarding the Treatment of Non-Public Information Shared Between the North American Securities Administrators Association and the Securities and Exchange Commission (February 17, 2017) - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio Broker/Dealer: State Enforcement Initiatives, Developments and Priorities - Broker/Dealer: State Enforcement Initiatives, Developments and Priorities, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker/Dealer: State Enforcement Initiatives, Developments and Priorities - Broker/Dealer: State Enforcement Initiatives, Developments and Priorities, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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