NASAA Launches Centennial Anniversary and Announces Public Policy Roundtable

WASHINGTON, D.C. (February 27, 2019)—The North American Securities Administrators Association, the voice of state and provincial securities regulations in the United States, Canada and Mexico, is commemorating its 100th anniversary this year with a series of events, including highlighting this important milestone at its May 20 Public Policy Roundtable in Washington, DC.

“We are looking forward to our second century of service and continuing our mission of protecting investors and supporting responsible small business capital formation,” said NASAA President and Vermont Commission of Financial Regulation Michael S. Pieciak. “The work of NASAA members helps power the economy by protecting investors and ensuring the integrity of financial markets.”

Since its founding in 1919, NASAA has evolved from a loosely organized group of securities administrators to an organization supported by a professional staff headquartered in Washington, DC, with more than 300 volunteers from member agencies throughout North America serving on committees that carry out the work of the association.

Pieciak said the work of NASAA, its members, and their legacy of investor protection will be showcased at the association’s Spring Public Policy Roundtable in Washington, DC on May 20, 2019 and at its Annual meeting, scheduled for September 8-10 in Austin, Texas.

NASAA will open the May 20 Roundtable by celebrating the association’s centennial with a luncheon conversation between NASAA Executive Director Joseph Brady and former NASAA presidents discussing the role of state regulation of the capital markets and spotlighting significant events in NASAA’s history.

“State securities regulators have a deep and rich history, however, focusing our attention to the future and the evolution of the financial services industry is critical to developing a regulatory framework that enables innovation while protecting investors,” Pieciak said.

For example, the first of the roundtable’s two panels will examine corporate governance and shareholder rights, including the inclusion of mandatory arbitration clauses in corporate charters and securities offerings. The second panel, “When States Step Up,” focuses on the authority of state securities regulators to act against Wall Street wrongdoing.

The roundtable also will feature a presentation on the U.S.-Mexico-Canada Agreement by Matthew Swinehart, Senior Counsel for International Trade and Financial Regulatory Policy and lead financial services negotiator for the U.S. Treasury Department. Additional speakers will be announced.

The roundtable is scheduled for Monday, May 20, 2019, from 12:15 to 5 p.m. at the Washington Court Hotel, 525 New Jersey Avenue NW, Washington D.C. The webcast of the event begins at 1:45 p.m. A special Centennial Reception will follow for participants attending the roundtable. Registration information for both in-person and online attendance is on the NASAA website here.

For More Information:
Bob Webster | Director of Communications
202-737-0900

Noelle Lane | Communications and Outreach Coordinator
202-737-0900

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