Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address
WASHINGTON, D.C. (August 31, 2015) – Experts from the worlds of finance and investment, securities regulation, and public policy will come together next month under the theme “Regulation For The Ages” at the North American Securities Administrators Association’s (NASAA) 98th Annual Conference.
The conference will be held September 27-29, 2015 in San Juan, Puerto Rico.
The three-day conference is co-chaired by Damaris Mendoza, Director of the Securities Regulation and Registration Division within Puerto Rico’s Office of the Commissioner of Financial Institutions, and Joseph Borg, Director of the Alabama Securities Commission.
Featured speakers include Arthur Levitt, the longest-serving chair of the U.S. Securities and Exchange Commission and widely hailed as a champion of individual investors, and Chris Farrell, noted financial commentator and author.
The conference also will offer three special discussions. The first will explore the differences emerging among the generations when it comes to how they invest and plan for retirement. Moderated by Vermont Deputy Securities Commissioner Mike Pieciak, the panel includes: Catherine Collinson, president of Transamerica Center for Retirement Studies; Emily Pachuta, Managing Director and Head of U.S. Wealth Advisory Marketing at BlackRock; John Waggoner, personal finance columnist and author; and Sean McDermott, an analyst with Corporate Insight.
The second discussion, led by New Jersey Securities Bureau Chief Laura Posner, will trace the historic arc of financial regulation. Panelists include: James D. Cox, Brainerd Currie Professor of Law at Duke Law School; James R. Barth, Lowder Eminent Scholar in Finance at Auburn University, a Senior Fellow at the Milken Institute, and a Fellow at the Wharton Financial Institution Center; and Eric Dinallo, currently partner at Debevoise & Plimpton LLP and formerly New York Superintendent of Insurance and New York Investor Protection Bureau Chief.
Finally, the conference will examine the evolution of investment products and how they are sold in a discussion moderated by Colorado Securities Commissioner Gerald Rome. Panelists include Douglas Cummins, professor in Finance and Entrepreneurship at York University’s Schulich School of Business; Craig McCann, founder of Securities Litigation and Consulting Group and former senior financial economist at the SEC; and Micah Hauptman, Financial Services Counsel for the Consumer Federation of America.
Additional speakers will be announced later. In addition, the conference will include open discussions with NASAA Section Committees on subjects related to broker-dealers, investment advisers, corporation finance, enforcement, investor education and CRD and IARD issues. – NASAA
Note: Be sure to reserve your hotel room before September 3. Conference registration and hotel information are available here.
For More Information:
Bob Webster | Director of Communications
202-737-0900
