NASAA Forums

NASAA hosts a series of public forums to provide a venue for fair and open dialogue on vital issues facing investors, regulators and industry. To hear an archived audio webcast of the forums, click the links below.

Archived NASAA Forums

• NASAA Public Policy Forum: "Regulatory Reform and Consumer Protection: Striking a Resonsible Balance"
  May 3, 2005, Washington, DC
  A panel of leading experts from government, academia, consumer organizations and the media, examine the challenge of maintaining a responsible balance between regulatory reform and consumer protection in today's world of financial services modernization and scandals in the brokerage, mutual fund, variable annuity, and other financial service industries. 
   
• NASAA Listens Forum on 12b-1 Fees
  September 13, 2004, New York
  The Forum brought together leading mutual fund industry experts and regulators to examine Rule 12b-1 plans in light of the evolution of the mutual fund industry and discuss whether the rule continues to meet its intended purpose.

• NASAA Listens Forum on Arbitration
  July 20, 2004, National Press Club, Washington, DC
  The Forum addresses a number of topics, including, legal and procedural issues in arbitration cases, the composition of arbitration panels, arbitration awards and remedies, and the view of the current process from the perspectives of both investors and arbitrators.