Panelists Announced for NASAA Annual Conference

Speakers to Spotlight Issues of Interest to Securities Regulators, Industry and Investors

WASHINGTON, September 16, 2010—The North American Securities Administrators Association (NASAA) today announced the lineup of speakers and panels for its upcoming annual conference, scheduled for September 26-28 in Baltimore, Maryland.

Under the theme “Charting a Course for the Future of Financial Regulation,” the three-day conference chaired by Maryland Securities Commissioner Melanie Senter Lubin will address how the Dodd-Frank Wall Street Reform and Consumer Protection Act will affect investors, industry and regulators.

Featured speakers include Rep. Elijah Cummings, (D-MD), a senior member of the U.S. House Oversight & Government Reform Committee and the House-Senate Conference Committee on financial regulation, which produced the Dodd-Frank Act; Maryland Attorney General Douglas F. Gansler; Harvard University economist David Laibson; distinguished Congressional and Presidential scholar Professor James Thurber, director of the Center for Congressional and Presidential Studies at American University School of Public Affairs; current NASAA President Denise Voigt Crawford and incoming NASAA President David Massey.

The conference’s first panel brings together securities regulatory experts to explore the regulatory initiatives that will ultimately reach investors and govern industry actions. Moderated by NASAA General Counsel Rex Staples, the panel includes: Jennifer McHugh, Senior Advisor to the Chairman, U.S. Securities & Exchange Commission; Marc Menchel, Executive Vice President and General Counsel of Regulation, Office of the General Counsel, Financial Industry Regulatory Authority; and Tanya Solov, Director of Securities, Illinois Securities Department.

During the second panel, securities industry professionals will examine how the business models of today will hold up against the regulation of tomorrow. Moderated by Connecticut Securities Director Ralph Lambiase, the panel features: Kristina Staples, Chief Compliance Officer, JER Partners; Gary Klein, Executive Vice President and Deputy General Counsel, LPL Financial Corporation; Susan MacMichael John, The National Association of Personal Financial Advisors; and David Montague, Associate General Counsel, Bank of America.

The conference’s final panel brings together a mix of financial specialists and commentators for a look at successful strategies to help guide investors through the new market era. Moderated by Arizona Director of Securities Matt Neubert, the panel consists of: Eileen Ambrose, Baltimore Sun personal finance columnist; Sarah McCafferty, Vice President and Senior Legal Counsel, T. Rowe Price Associates, Inc.; Patricia Struck, Securities Administrator, Wisconsin Division of Securities; and Jacob Zamansky, Principal, Zamansky & Associates, LLC.

The conference will be held at the Marriott Waterfront Hotel at Baltimore’s famed Inner Harbor. Click here for a complete agenda and registration information.

For more information:
Bob Webster, NASAA Director of Communications
202-737-0900

2010 Headlines, Newsroom