SEC Investor Advocate Rick Fleming to Delivery Keynote Address
Conference Details & Registration Information
WASHINGTON, D.C., March 27, 2015 – Securities regulators from the United States, Canada and Mexico will convene in Washington, D.C. next month when the North American Securities Administrators Association (NASAA) hosts its annual Public Policy Conference on April 14 at the Mayflower Renaissance Hotel, 1127 Connecticut Avenue, NW, Washington, D.C.
“This year’s conference focuses on innovation, both at the state level in terms of bold ideas taking shape to help small businesses and entrepreneurs raise investment capital, and more broadly in terms of how the securities industry, its regulators and investors are handling technological advances throughout the financial services industry,” said NASAA President and Washington Securities Director William Beatty.
Under the theme “Progress Through Innovation,” year’s conference offers two timely panel discussions: “The Laboratories of Capital Innovation” and “Balancing the Risks and Rewards of Technological Financial Innovation.” The conference is chaired by New York Investor Protection Bureau Chief Chad Johnson.
The first panel, moderated by Ohio Securities Commissioner Andrea Seidt, brings together experts representing policymakers, regulators, business and academia to examine innovative local solutions to spur capital formation and explain what they signal for the prospects of national economic growth as states successfully serve as incubators of small business development. The panel will examine the innovative steps that states have taken and continue to take to help small business access investment capital while at the same time protecting investors.
During the second discussion, moderated by British Columbia Securities Commissioner Brenda Leong, a panel of regulatory and industry experts will address questions related to rapidly evolving technologies that are blazing new trails in technological innovation designed to improve efficiencies for investors and firms, as well as to provide new products and services.
Beatty also said NASAA is honored to have U.S. Securities and Exchange Commission Investor Advocate Rick Fleming deliver the keynote address at this year’s conference. Fleming is the first director of the Office of Investor Advocate at the SEC. In this role, he is responsible for analyzing the impact on investors by proposed rules and regulations and identifying problems that investors face.
Registration information is available on the NASAA website at www.nasaa.org. On-site registration begins at 11 a.m. and the keynote luncheon follows at 12:15 p.m. The general session begins at 1:45 p.m. and is scheduled to conclude at 4:30 p.m., with a reception to follow.
For More Information:
Bob Webster | Director of Communications
202-737-0900
