2017 Annual Conference





Conference Highlights

The Financial Services Technology Revolution


The Future is Here: New Technologies for Raising Capital, Managing Money, and Investing
Over the years, technology has changed how capital markets operate. Now more than ever, disrupters are using technology to change the very basics of how companies raise capital and individuals invest and manage their money. This panel will explore new and emerging technologies likely to bring even more change to the marketplace. Panelists also will address what this means for financial regulators and regulation. Is it a game of catch-up or are the laws and regulations on the books today effective in protecting investors and the markets?

Adaptation or Extinction?  The Impact of the Technology Revolution on Financial Services Firms
Business models often factor in the inevitability of change. But what does the rapid pace of the fintech revolution mean for financial service firms, especially when these changes could impact the very core of their business? Panelists will examine how firms are managing the rapid pace of development in products and services and explore what financial services firms might look like a decade from today.

Enforcement in the Age of Big Data: How Technology is Expanding Everyone’s Reach
Technology, particularly the use of data, is having an impact on the way regulators carry out their responsibilities.A panel of securities law enforcement experts will discuss how big data can be used to investigate securities fraud. Panelist will examine whether the use of predictive analytics or artificial intelligence can point regulators to frauds before they happen, and to what extent enforcement is a matter of old-fashioned shoe leather detective work.


  • Paralegal Roundtable
  • ABA State Regulation of Securities Committee Meeting
  • Investment Adviser Section Forum
  • Joint Web CRD/IARD Section Forum
  • Investor Education Section Forum
  • Corporation Finance Section Forum
  • Broker-Dealer Section Forum
  • Enforcement Section Forum


Sunday, September 24, 2017

8 a.m. – 9 a.m.
Paralegal Roundtable Program

9 a.m. -11 a.m.
ABA State Regulation of Securities Committee Meeting

9 a.m. – 11 a.m.
NASAA Business Meeting*

11 a.m. – 12 p.m.
Grand Ballroom 2

12:15 p.m. -1 p.m.
Opening Ceremonies
Opening Speaker:  Sujit “Bob” Chakravorti, Founder and CEO of Chakra Advisors
Grand Ballroom 3

1:15 p.m. – 2:30 p.m.
PANEL DISCUSSION: The Future is Here: New Technologies for Raising Capital, Managing Money, and Investing
Grand Ballroom 3

2:30 p.m. – 3 p.m.
Networking Break
Grand Ballroom Foyer

3 p.m. – 4 p.m.
FORUM: Investment Adviser Section
Grand Ballroom 1

5 p.m. – 6 p.m.
Welcome Reception
Grand Ballroom Foyer

Monday, September 25, 2017 

8 a.m. – 9 a.m.
Continental Breakfast
Grand Ballroom Foyer

9 a.m. – 10 a.m.
Grand Ballroom 1

FORUM: Investor Education
Fifth Avenue Room

10 a.m. – 10:30 a.m.
Networking Break
Grand Ballroom Foyer

10:30 a.m. –  10:45 a.m.
Investor Champion Award Ceremony
Grand Ballroom 3

10:45 a.m. – 11:45 a.m.
PANEL DISCUSSION: Adaptation or Extinction?  The Impact of the Technology Revolution on Financial Services Firms
Grand Ballroom 3

12 p.m. –  1:15 p.m.
NASAA President Mike Rothman and Barbara Endicott-Popovsky, Executive Director of the University of Washington’s Center for Information Assurance and Cybersecurity
Grand Ballroom 2

1:30 p.m. – 2:30 p.m.
FORUM: Corporation Finance Section
Grand Ballroom 1

2:30 p.m. – 3 p.m.
Networking Break
Grand Ballroom Foyer

3 p.m. –  5:30 p.m.
Team Building Exercise*
Grand Ballroom 2

6:30 p.m. –  8:30 p.m.
Offsite Reception – Interactive Museum of Pop Culture 

The Museum of Pop Culture is a leading-edge nonprofit museum, dedicated to the ideas and risk-taking that fuel contemporary popular culture. With its roots in rock ‘n’ roll, MoPOP serves as a gateway museum, reaching multigenerational audiences through collections, exhibitions, and educational programs, using interactive technologies to engage and empower visitors. At MoPOP, artists, audiences and ideas converge, bringing understanding, interpretation, and scholarship to the popular culture of our time.



Tuesday, September 26, 2017 

7 a.m. – 8:30 a.m.
Continental Breakfast
Grand Ballroom Foyer

8:30 a.m. – 10:30 a.m.
NASAA Business Meeting *
Grand Ballroom 1

10 a.m. – 10:45 a.m.
Networking Break
Grand Ballroom Foyer 

10:45 a.m. – 12 p.m.
PANEL DISCUSSION: Enforcement in the Age of Big Data: How Technology is Expanding Everyone’s Reach
Grand Ballroom 3

12:15 p.m. – 1:30 p.m.
Speaker: Joseph P. Borg, Alabama Securities Commission Director
Grand Ballroom 2

1:45 p.m. – 2:45 p.m.
FORUM: Broker-Dealer Section
Grand Ballroom 1

2:30 p.m. – 3 p.m.
Networking Break
Grand Ballroom Foyer

3 p.m. – 4 p.m.
FORUM: Enforcement Section
Grand Ballroom 1

6 p.m. – 9 p.m.
President’s Reception and Dinner
Grand Ballroom 2

* Closed meeting: NASAA members only 


The Westin Seattle Hotel
1900 5th Avenue
Seattle, Washington 98101

Hotel & Registration Deadline is August 31, 2017

A limited number of guestrooms have been reserved. You are responsible for making your own reservation directly with the hotel. NASAA’s group rate is $209 single/double occupancy per night, plus 15.6 percent tax, and a $2 occupancy fee. When making your reservations, be sure to identify yourself as a NASAA conference attendee.

Hotel reservations must be guaranteed by a major credit card. NASAA’s group rate will be available on a first-come first-served basis until all the rooms contracted are sold or until August 31, 2017.  Please make your hotel reservations as soon as possible to avoid any inconvenience. NASAA will not reimburse any attendee for a higher guestroom rate due to late registration. Check-in time is 3 p.m. Efforts will be made to accommodate early arrivals. 


NASAA will process applications for Continuing Legal Education (CLE) accreditation when requested.  You must be a primary attendee with no outstanding registration fee due to receive CLE credit. 

Approximately six hours of continuing legal education will be offered during the conference.  Attendees are responsible for completing a CLE Certificate that will be available at the registration desk.  Please return the signed and completed certificate to the registration desk before your departure, we will not process any forms received after the conference. 


The following events are open to all registered attendees and guest. Name badges are required at all events.

Welcome Reception
Sunday, September 24, 2017
5 p.m. – 6 p.m.
All attendees are invited to connect with colleagues, partners, and friends at the welcome reception. Attire: Business Casual

Night at the Museum Reception
Monday, September 25, 2017
6:30 p.m. – 8:30 p.m.
Join your friends and colleagues for a relaxing evening reception at the acclaimed Museum of Pop Culture.  NASAA conference attendees can network and mingle within exhibits that helped shape multigenerational popular culture. You should plan to take the Seattle Monorail to the reception which is located 2 blocks away from the hotel.  The museum is very short walk from the Seattle Monorail station. Attire: Business Casual

President’s Reception & Dinner
Tuesday, September 26
6 p.m. – 9 p.m.
Join us for an entertaining dinner to honor the NASAA President. Attire: Evening Attire 


The Seattle Tacoma International Airport is located 14 miles from the Westin Seattle Hotel.  There are share ride shuttles, taxicab service, Uber and Lyft options available for your transportation to/from the airport. Approximate cost one-way:

  • Shuttles: $18
  • Taxi: $45
  • Uber/Lyft: $32-$41


Spouse/Guest Program

Primary registrants may purchase a spouse/guest registration for any person who is not in the securities industry.  The spouse/guest registration includes attendance at all non-educational events, daily continental breakfast, Sunday brunch, attendance at the opening session, Sunday Welcome Reception, Monday Evening Reception, and Tuesday President’s Reception and Dinner.


Cancellations for the conference must be received in writing and post-marked no later than midnight, September 13, 2017 to receive a refund (less a $100 processing fee.)  After this deadline, registration fees are non-refundable, but substitutions are permitted.  If you are registered, yet unpaid, do not cancel prior to the deadline, or do not show up at the conference, your registration fee will be due upon receipt of NASAA’s invoice.  Hotel cancellations must be made directly with the hotel.

Onsite Registration Hours

  • Saturday 12 p.m. – 3 p.m.
  • Sunday    7:30 a.m. – 3 p.m.
  • Monday    7:30 a.m. – 3 p.m.
  • Tuesday   8 a.m. – 12 p.m.

Rates and Payment

The conference package for primary attendees includes attendance to all the educational sessions and meetings (except those designated as closed) as well as to all the social events.  The social events include; Sunday’s Welcome Reception, Monday’s Evening Reception, Tuesday’s President’s Reception and Dinner, and all meals and breaks.

Your registration fee must be paid in full, by the first day of the conference.  Please make checks payable (in U.S. funds) to:

750 First Street, N.E.,
Suite 1140
Washington, DC 20002

Sorry, we do not accept credit cards.

Attendee Rates: 3-Day Full Conference and Forums

Registration Options
and Rates
(Ends September 14)
(After September 14)
Daily Fee


N/A $150 N/A

State Government

$325 $350 $200
Federal Government $700 $800 $550
Industry/SRO/Other $1,350 $1,550 $925
Spouse/Guest $225 $250 N/A

Photo Credit: Tim Streetporter

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