2015 Annual Conference

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Regulation For The Ages
Sept. 27-29, 2015
San Juan, Puerto Rico

Conference Brochure

Preliminary List of Attendees

Conference Presentations & Materials









Featured Speakers

Arthur Levitt
Former SEC Chair
Chris Farrell
Author & Financial Commentator












Sunday, Sept. 27
NASAA Membership Meeting
9 am – 12 pm

Paralegal Roundtable Program
8 am – 10 am

ABA State Regulation of Securities Committee Meeting
10 am – 12 pm

11:45 am – 1 pm

Afternoon Session
1 pm – 5 pm

  • Opening Session
    • Welcoming Remarks
    • Featured Speaker: Chris Farrell
  • Panel Discussion: The Future of Investing — Talking ‘Bout My Generation
    As the North American population ages, differences are emerging among the generations when it comes to how they invest and plan for retirement. Panelists will examine the financial expectations of various generations and how the financial services industry and its regulators can best satisfy Boomers and Millennials alike.
  • Mike Pieciak, Vermont Deputy Securities Commissioner (moderator)
  • 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;
  • Sean McDermott, an analyst with Corporate Insight
  • Broker-Dealer Section Forum

Welcome Reception
6 pm – 7:30 pm

Monday, Sept. 28 
Morning Session
9 am – 12:15 pm

  • Joint Web CRD/IARD Forum
  • Investor Education Section Forum
  • Panel Discussion: Tracing the Arc of Financial Regulation
    From the creation of the SEC to the launch of the CFPB, generations of lawmakers have sought to create a financial regulatory system that protects marketplace integrity and shields investors and consumers from fraud and abuse. Panelists will consider various regulatory models and philosophies that emerged in the 20th century and discuss how tensions between differing regulatory approaches are shaping rulemakings of today and tomorrow.

    • Laura Posner, New Jersey Securities Bureau Chief (moderator)
    • James D. Cox, Brainerd Currie Professor of Law at Duke Law School
    • James R. Barth, Lowder Eminent Scholar in Finance at Auburn University; Senior Fellow, Milken Institute; Fellow , Wharton Financial Institution Center
    • Eric Dinallo, partner, Debevoise & Plimpton LLP;  formerly New York Superintendent of Insurance and New York Investor Protection Bureau Chief

Afternoon Session

12:15 pm – 5 pm

  • Keynote Luncheon with Arthur Levitt
  • Investment Adviser Section Forum
  • Enforcement Section Forum

6 pm – 8 pm

Tuesday, Sept. 29
Morning Session
8:30 am – 12 pm

  • NASAA Membership Meeting
  • Panel Discussion: The Evolution of Investment Products and How They are Sold
    A discussion of the development of investment products, how they are sold, and the differing duties of care. Panelists will examine how new investment concepts evolve and how investors perceive different products’ benefits and protections.

    • Gerald Rome, Colorado Securities Commissioner (moderator)
    • Douglas Cumming, professor in Finance and Entrepreneurship at York University’s Schulich School of Business
    • Craig McCann, founder, Securities Litigation and Consulting Group; former SEC senior financial economist
    • Micah Hauptman, Financial Services Counsel, Consumer Federation of America
    • Kevin Carroll, Managing Director & Associate General Counsel, SIFMA

Afternoon Session
12 pm – 4:30 pm

  • Presidential Luncheon
  • Corporation Finance Section Forum
  • Ombudsman Meeting

Reception & Dinner
6:15 pm – 10 pm

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