100 Years of Investor Protection

Annual Conference to Focus on Past, Present and Future of Securities Regulation

WASHINGTON (August 4, 2011) – State and provincial securities regulators will gather in Kansas, the home of the first state securities law, next month to commemorate the centennial of blue sky securities regulation and to discuss the past, present and future of investor protection and securities regulation.

The North American Securities Administrators Association (NASAA) will host its Annual Conference September 11-13 at the Hyatt Regency Hotel in Wichita. Registration information is available on the NASAA website here.

“I am proud to join my colleagues from across North America in celebration of 100 years of investor protection,” said David Massey, NASAA President and North Carolina Deputy Securities Administrator.

“We are retracing our roots by gathering in Kansas, the birthplace of state blue sky law. But we’re not just in Kansas anymore,” Massey said. “NASAA members throughout the United States, Canada and Mexico continue to build on our century-old foundation of investor protection.”

The conference will feature three panel discussions that promise to honor NASAA members’ long history of investor protection, examine the current state of financial services regulation and explore what lies ahead for investors, industry and regulators.

The first panel features a group of distinguished NASAA alumni to reflect on the evolution of state securities regulation. Moderated by Iowa Securities Bureau Securities Counsel Craig Goettsch, the panel includes:

  • Lewis Brothers, former Virginia Securities Director and NASAA President;
  • Philip Feigin, former Colorado Securities Commissioner and NASAA President;
  • Denise Voigt Crawford, former Texas Securities Commissioner and NASAA President;
  • Robert Lam, Pennsylvania Securities Commissioner.

The second panel will delve into the central debate of the current era in securities regulation: the Dodd-Frank Wall Street Reform and Consumer Protection Act. Panelists representing both consumer and industry perspectives will square off on the reform law. Moderated by California Corporations Commissioner Preston DuFauchard, the panel includes:

  • Ken Bentsen, Executive Vice President of SIFMA;
  • Stephen Luparello, FINRA Vice Chairman;
  • Barbara Roper, Director of Investor Protection at the Consumer Federation of America;
  • David Tittsworth, Executive Director of the Investment Advisers Association.

The final panel will bring together securities experts to discuss how increasing globalization and other factors may shape the future of securities regulation. Moderated by Texas Securities Commissioner Benette Zivley, the panel includes:

  • Jean Lorrain, Director of International Affairs for Quebec’s securities regulator, the Autorité des marchés financiers;
  • George (Tres) Arnett, Executive Vice President and General Counsel, HedgeMark International, LLC;
  • Elizabeth Jacobs, Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission.

NASAA is the oldest international organization devoted to investor protection. Its membership consists of the securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada and Mexico.

For more information:
Bob Webster, NASAA Director of Communications
Leah Szarek, NASAA Manager of Communications and Investor Education


NASAA to Welcome Next Century of Investor Protection

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