Conference to Feature Panels, Forums on Topics of Interest to Securities Regulators and Financial Services Industry
WASHINGTON (September 6, 2006) – The North American Securities Administrators Association (NASAA) will host its 89th Annual Conference in San Diego, California, from September 17-19 to examine investor protection issues of importance to securities regulators and the financial services industry, Patricia D. Struck, NASAA President and Securities Division Administrator for Wisconsin’s Department of Financial Institutions said today.
The 2006 NASAA conference offers all participants the opportunity to gather to discuss emerging issues in the financial services industry and regulatory arena. The three-day conference will feature three discussion panels addressing some of the most critical matters confronting today’s investors, the financial services industry, and regulators, Struck said.
Panelists will discuss: the regulatory and business challenges of marketing various annuity products to seniors; the impact of financial literacy on investor behavior; and enforcement priorities of state, federal and industry regulators. In addition, the conference will include open forum discussions with NASAA Section Committees on issues related to CRD and IARD, broker-dealers, investment advisers, corporation finance, enforcement, and investor education.
Speakers will include Mary L. Schapiro, NASD Chairman and Chief Executive Officer; Mark Z. Barabak, Political Writer for the Los Angeles Times, who will offer his perspective on the national political landscape; and NASAA President-elect Joseph P. Borg, who will deliver his Presidential Address on September 19.
The conference will be held at the Westin Horton Plaza. For a complete agenda and registraiton information, please click here.
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