NASAA Annual Conference to Focus on Innovation, Investor Protection and the Road to Economic Recovery

WASHINGTON, August 9, 2012—The North American Securities Administrators Association (NASAA) will host its 95th Annual Conference in Coronado, California, from September 9-11 to offer insights on financial innovation, investor protection and the road to economic recovery.

Under the theme, “Through the Looking Glass: Providing Purposeful Regulation,” this year’s conference will provide expert commentary and analysis on how investors, industry and regulators are likely to fare in the wake of new financial regulation and the upcoming presidential election, said NASAA President and Assistant Director of the Nebraska Department of Banking & Finance, Bureau of Securities Jack E. Herstein.

The three-day conference, the largest gathering of state and provincial securities regulators in North America, will provide attendees with a retrospective look at the Dodd‐Frank rulemaking process for Wall Street and Main Street; the impact of the JOBS Act on capital formation; and a timely examination of the impact the upcoming national elections may have on financial services regulation.

The conferences offers three discussion panels: “Occupy Regulation,” which focuses on the Volcker Rule, the SEC’s rule on fiduciary duty and the growing role of cost-benefit analysis in the Dodd-Frank rulemaking process; “The Future Course of Capital Formation,” which discusses the effect of the JOBS Act on the capital formation industry; and “Politics and Policy: What the Election Means for Financial Services Regulation.”

The conference kicks off with remarks from Professor Frank Partnoy, one of the world’s leading experts on the complexities of modern finance and financial market regulation. Partnoy, the George E. Barrett Professor of Law and Finance and director of the Center on Corporate and Securities Law at the University of  San Diego, worked as a derivatives structurer at Morgan Stanley and CS First Boston during the mid-1990s and wrote F.I.A.S.C.O.: Blood in the Water on Wall Street, a best-selling book about his experiences there. His most recent book is WAIT: The Art and Science of Delay.

The keynote luncheon will feature noted USA Today investing columnist John Waggoner, author of “Bailout: What the Rescue of Bear Stearns and the Credit Crisis Mean for Your Investments.”

In addition, the conference will include open forum discussions with NASAA Section Committees on issues related to broker-dealers, investment advisers, corporation finance, enforcement, investor education and CRD and IARD issues.

The conference will be held at the Hotel del Coronado on the island of Coronado, just outside of downtown San Diego.  Details on conference registration and hotel reservations are available on NASAA’s website here. The hotel reservation deadline is August 16.

For more information:

Bob Webster, NASAA Director of Communications

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