State and Provincial Securities Regulators to Convene

Dodd-Frank Implementation in Spotlight at NASAA Public Policy Conference

WASHINGTON (March 14, 2011) – State and provincial securities regulators will convene in Washington, D.C., later this month to discuss the ongoing implementation of financial regulatory reform and encourage lawmakers to maintain a strong system of state and federal investor protection.

The North American Securities Administrators Association (NASAA) will host its annual Public Policy Conference on Monday, March 28 at the Washington Court Hotel, 525 New Jersey Avenue NW, Washington, D.C.

Following the signing of the Dodd-Frank Wall Street Reform and Consumer Protection Act in June 2010, lawmakers and federal regulators turned their attention to writing the more than 200 rules that will determine whether the Act’s investor protection goals are realized. NASAA’s conference asks the question, “Will Washington choose investors?”

“The passage of Dodd-Frank was just the beginning,” said NASAA President and North Carolina Deputy Securities Administrator David Massey. “State securities regulators are working to ensure that the investor protections promised in Dodd-Frank are not weakened or delayed by funding constraints.”

The conference kicks off with a keynote luncheon featuring noted political commentator Norman Ornstein, resident scholar at the American Enterprise Institute.

The conference also features two panel discussions: “Dodd-Frank Implementation: The Future of Financial Reform” and “Exotics in the Neighborhood.”

  • In the first panel discussion, state securities regulators will spotlight how investors are faring as regulators and Congress deliberate critical areas of Dodd-Frank. Moderated by Pennsylvania Securities Commission Steven Irwin, the panel includes Maryland Securities Commissioner Melanie Lubin, Ohio Securities Commissioner Andrea Seidt, and Florida Securities Division Director Franklin Widmann.
  • The second panel brings together representatives from industry and media in an examination of the exotic choices increasingly offered to retail investors, including structured products, exchange-traded funds and secondary market offerings. Moderated by Peter Cassidy of the Massachusetts Securities Division, the panel includes Mark Carver, director of iShares Product Management for BlackRock; Elisha Tuku, executive director of Morgan Stanley; and Jim McTague, Washington editor for Barron’s magazine.

On-site registration begins at 11 a.m. and the keynote luncheon follows at 12 p.m. The general session begins at 1:30 p.m. and is scheduled to conclude at 4:15 p.m.

NASAA is the oldest international organization devoted to investor protection. Its membership includes 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, Director of Communications

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