NASAA Annual Conference to Explore Investor Protection Amid Evolving Regulatory Landscape

WASHINGTON, DC (September 9, 2013) — State and Canadian securities regulators will convene in Salt Lake City, Utah, next month as the North American Securities Administrators Association hosts its 96th Annual Conference to discuss how securities regulators and professionals can uphold investor protection amid an evolving world of regulatory change.

“Our theme, ‘Protecting Investors in the Evolving Landscape of Securities Regulation,’ focuses attention on balancing investor protection with capital formation,” said Conference Chair David Massey, North Carolina Deputy Securities Administrator.

The conference will be held at the Grand America Hotel in Salt Lake City, Utah. Details on conference registration and hotel reservations are available on NASAA’s website, here. The hotel reservation deadline is September 12.

The three-day conference, October 6-8, includes three panel discussions that offer a wide view of the current investor protection and regulatory landscape. The first addresses the demand for liquidity in privately placed securities. The second examines the current state of securities arbitration and class action. The third panel discusses how designating oversight of small offerings to state securities regulators may better serve and protect investors by enabling federal regulators to focus on large offerings.

The conference, which is the largest gathering of state and provincial securities regulators in North America, begins with welcoming remarks from Ben McAdams, Salt Lake County Mayor. Following McAdams is Olivia Mellan, a groundbreaker in the field of money psychology.

On Monday, October 7, the conference will hear an address by David Wright, Secretary General of the International Organization of Securities Commissions (IOSCO). Mr. Wright was appointed Secretary General of IOSCO in March 2012 after serving a distinguished career with the European Commission, where he worked at the highest levels of the European Unions’ political and regulatory system. He has advised European Commission Presidents, been a member of Sir Leon Brittan’s Cabinet and has been at the forefront of the drive to integrate the European Union’s financial services and capital markets.

Mr. Wright will be followed by the conference keynote speaker, former Senator Judd Gregg, CEO of the Securities Industry and Financial Markets Association (SIFMA). A national leader on fiscal policy and a respected voice on economic and financial regulatory issues, Senator Gregg served as a U.S. Senator from 1993 to 2011 and was both Chairman and the Ranking Member of the Senate Budget Committee. Prior to his tenure in the Senate, Senator Gregg served as Governor of New Hampshire (1989-1993) and as a U.S. Representative (1981-1989).

The conference also 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.

For more information:

Bob Webster | Director of Communication
Follow NASAA on Twitter at: @NASAA_News


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