SEC Commissioner Walter to Address NASAA Annual Conference

State Securities Regulators Return to Kansas to Celebrate Centennial

WASHINGTON, DC (August 30, 2011) – The North American Securities Administrators Association (NASAA) announced today that SEC Commissioner Elisse Walter will be the keynote speaker at its annual conference, which commemorates the 100-year anniversary of state securities law and explores the future of investor protection and securities regulation. The conference is scheduled for September 11-13 at the Hyatt Regency Hotel in Wichita, Kansas.

“We are pleased to return to the birthplace of state securities law with a strong lineup of speakers and panels to honor NASAA members’ long history of investor protection, examine the current state of financial services regulation and explore what lies ahead for investors, industry and regulators,” said David Massey, NASAA President and North Carolina Deputy Securities Administrators.

Commissioner Walter is scheduled to offer the keynote luncheon address on Monday, September 12. She was appointed by President George W. Bush to the U.S. Securities and Exchange Commission in 2008. Under designation by President Barack Obama, she served as Acting Chairman during January 2009. Prior to her appointment, she served as Senior Executive Vice President, Regulatory Policy & Programs, for FINRA. She held the same position at NASD before its 2007 consolidation with NYSE Member Regulation.

The conference will open on September 11 with an address by Lou Heldman examining the current and future role social networking media plays in industry and society. Heldman is the Interim Director and Distinguished Senior Fellow of the Elliott School of Communication at Wichita State University. Before joining the university, he spent 30 years in the newspaper industry where he served as president and publisher of the Wichita Eagle, led coverage that earned a Pulitzer Prize by The Fort Wayne News-Sentinel and held editorial positions at several leading newspapers.

The conference also features three panel discussions. On Sunday, September 11, a panel of distinguished NASAA alumni examines the evolution of state securities regulation. Moderated by Iowa Securities Bureau Securities Counsel Craig Goettsch, the panel includes:

  • former Virginia Securities Director Lewis Brothers,
  • former Colorado Securities Commissioner Philip Feigin,
  • former Texas Securities Commissioner Denise Voigt Crawford, and
  • Pennsylvania Securities Commissioner Bob Lam.

On Monday, September 12, a panel will debate key aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Moderated by California Corporations Commissioner Preston DuFauchard, the panel includes:

  • Ken Bentsen, Executive Vice President of SIFMA;
  • Stephen Luparello, FINRA Vice Chairman;
  • Barbara Roper, Director of Investor Protection, Consumer Federation of America; and
  • Neil A. Simon, Vice President for Government Relations, Investment Advisers Association.

The final panel of the conference, on Tuesday, September 13, will explore the future of investor protection and securities regulation. Moderated by Texas Securities Commissioner Benette Zivley, the panel includes:

  • Jean Lorrain, Director of International Affairs for Quebec’s securities regulator, the Autorité des marchés financiers;
  • George (Tres) Arnett, Executive Vice President and General Counsel, HedgeMark International, LLC; and
  • Elizabeth Jacobs, Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission.

Additional conference details and registration information are available on the NASAA website here. Complimentary registration is available for credentialed media.

For more information:
Bob Webster, Director of Communications
202-737-0900

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