2018 Annual Meeting



The Anchorage Hilton Hotel
500 West Third Avenue
Anchorage, Alaska 99501




Hotel & Registration Deadline is August 28, 2018

For reservations call 907-272-7411 or Book your room online

Reservation Code: NASAA Fall Meeting | Discounted Rate: $179 + 12% tax

Anchorage Skyline




Panel 1: A Discussion of SEC Regulation BI & Developments in Standards of Care

2018 has been a watershed year for standards of care for broker-dealer investors. On the heels of the close of the DOL fiduciary duty rule litigation saw the opening of the SEC’s proposed Regulation Best Interest (BI) comment period.  The merits of the current broker-dealer and investment adviser standards of care have been examined and re-examined, along with the Regulation BI proposal and the closely related Form CRS proposal. The nuances of conflicts disclosure, duties of care and loyalty have been at the forefront of many conversations in the securities industry this year. A panel of experts drawing from across the stakeholder community will advance that conversation in a wide-ranging discussion. 

Panel 2: Financing the Future: Investment Opportunities and Regulatory Challenges

In 2016, U.S. Securities and Exchange rules issued under the JOBS Act took effect to implement federal crowdfunding. Since then, approximately two-thirds of states have adopted similar legislation permitting intrastate crowdfunding. Crowdfunding provides businesses, particularly smaller or emerging businesses, the opportunity to raise capital in new ways. A panel of experts will discuss the implementation of crowdfunding and provide insights into how crowdfunding is (or is not) changing the economic and regulatory calculus for business fundraising.

Panel 3: Enforcement Challenges in the Unicorn Era

Welcome to the age of the unicorn, where many large companies, which might have been expected to go public, opt to remain private – without the scrutiny, disclosures, and regulatory compliance requirements of being a public company.  But when a private company grows to be Uber-sized, or even Theranos-sized, puffed up product demos, unethical business practices, and slightly exaggerated claims can affect a broader range of investors, employees, and customers.  A panel of industry and regulatory experts will examine the role and responsibility of policymakers and state and federal securities regulators in this unique and vital area of the startup and venture capital market. The panel also will explore what companies should be doing better, the significance of the shift toward private markets; and how the tremendous growth in this area is affecting regulators and investors alike.


  • 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


Meeting Location:

The Egan Center
555 W 5th Avenue
Anchorage, AK 99501
Located two blocks away from the hotel

* Closed meeting: NASAA members only 

Saturday, September 22, 2018

9 a.m. – 5 p.m.

Board of Directors Meeting*

Hilton Hotel (Aspen Room)

Sunday, September 23, 2018

8 a.m. – 9 a.m.
Paralegal Roundtable Program
Egan Center Room 1

9 a.m. – 11 a.m.
NASAA Business Meeting*
Egan Center Arteaga Hall

11 a.m. – 12 p.m.
Egan Center La Perouse Hall

12 p.m. – 12:45 p.m.
Opening Ceremonies
Egan Center Cook Hall

1 p.m. – 2:15 p.m.
PANEL DISCUSSION 1: A Discussion of SEC Regulation BI & Developments in Standards of Care
Egan Center Cook Hall


  • Andrea Seidt, Commissioner, Ohio Division of Securities


  • Gail Bernstein, General Counsel, Investment Adviser Association
  • Chris Besko, Director, Manitoba Securities Commission
  • Ira Hammerman, Executive Vice President and General Counsel, SIFMA
  • Bryan Lantagne, Massachusetts Securities Division
  • Barbara Roper, Director of Investor Protection, Consumer Federation of America

2:15 p.m. – 2:30 p.m.
Networking Break
Egan Center

2:30 p.m. – 3:30 p.m.
FORUM: Investment Adviser Section
Egan Center Room 1

3:45 p.m. – 5:15 p.m.
ABA State Regulation of Securities Committee Meeting
Egan Center Room 1

6 p.m. – 7:30 p.m.
Welcome Reception
Hilton Hotel (Alaska Ballroom)

Monday, September 24, 2018 

8 a.m. – 9 a.m.
Continental Breakfast
Egan Center Foyer

9 a.m. – 10 a.m.
Egan Center Room 1

FORUM: Investor Education
Egan Center Room 2

10 a.m. – 10:30 a.m.
Networking Break
Egan Center Foyer

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

10:45 a.m. – 11:45 a.m.
PANEL DISCUSSION 2: Financing the Future: Investment Opportunities and Regulatory Challenges
Egan Center Cook Hall


  • Melanie Lubin, Maryland Division of Securities


  • Rick Armstrong, Owner, Baranof Island Brewery
  • Julius Brecht, Attorney, Bankson, Gronning, O’Hara P.C.
  • Amy Cortese, Journalist and Author
  • George Humm, Financial Examiner, Alaska Department of Commerce, Community and Economic Development

12 p.m. – 1:15 p.m.
Peter Van Valkenburgh, Director of Research, Coin Center
Egan Center La Perouse Hall

1:30 p.m. – 2:30 p.m.
FORUM: Corporation Finance Section
Egan Center Cook Hall

6:30 p.m. –  8:30 p.m.
Offsite Reception – Anchorage Museum

The Anchorage Museum brings the best of Alaska to the world and the best of the world to Alaska. Through a combination of art and design, history, science and culture, the Anchorage Museum creates a rich, deep understanding of the human experience and offers something for everyone. The Anchorage Museum connects people, expands perspectives, and encourages global dialogue about the North and its distinct environment. Learn more about the Anchorage Museum, here.




Tuesday, September 25, 2018
7 a.m. – 9 a.m.
Continental Breakfast
Egan Center Foyer

9 a.m. – 10:30 a.m.
NASAA Business Meeting *
Egan Center Arteaga Hall

10:30 a.m. – 10:45 a.m.
Networking Break
Egan Center Foyer

10:45 a.m. – 12 p.m.
PANEL DISCUSSION 3: Enforcement Challenges in the Unicorn Era
Egan Center Cook Hall


  • Claire McHenry, Deputy Director, Nebraska Bureau of Securities


  • Faith Anderson, Chief of Registration & Regulatory Affairs, Washington Department of Financial Institutions Division of Securities
  • Renee Jones, Professor, Boston College Law

12:15 p.m. – 1:30 p.m.
Speaker: Michael Pieciak, Commissioner, Vermont Department of Financial Regulation
Egan Center La Perouse Hall

1:45 p.m. – 2:45 p.m.
FORUM: Broker-Dealer Section
Egan Center Room 1

2:45 p.m. – 3 p.m.
Networking Break
Egan Center Foyer

3 p.m. – 4 p.m.
FORUM: Enforcement Section
Egan Center Room 1

4:30 – 5:30 p.m.
Board of Directors Meeting*
Hilton Hotel (Aspen Room)

5:30 p.m. – 8:30 p.m.
President’s Reception and Dinner
Hilton Hotel (Alaska Ballroom)


The Anchorage Hilton Hotel
500 West Third Avenue
Anchorage, Alaska 99501

Reservation Deadline: August 28, 2018

For reservations call 907-272-7411 or Book your room online

Cut-off date, August 28, 2018

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 $179 single/double occupancy per night, plus 12% percent tax.  When making your reservations, be sure to identify yourself as a NASAA meeting 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 28, 2018.  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. 


Anchorage welcomes the North American Securities Administrators Association 2018 annual conference. Discover what Anchorage has in store before, during and after the meeting.

Discover Anchorage

Salmon Berry Tours


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 23, 2018
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 24, 2018
6:30 p.m. – 8:30 p.m.
Join your friends and colleagues for a relaxing evening reception at the acclaimed Anchorage Museum.  NASAA conference attendees can network and mingle within exhibits that brings the best of Alaska to the world and combines art and design, history, science and culture, and a rich understanding of the human experience. The museum is very short walk from the Hilton Anchorage Hotel.  Attire: Business Casual

President’s Reception & Dinner
Tuesday, September 25
6 p.m. – 9 p.m.
Join us for an entertaining dinner to honor the NASAA President.


The Ted Stevens Anchorage International Airport is located 6 miles from the Hilton Hotel.  The best transportation options are taxicab service or Uber and Lyft.  Both options are available for your transportation to/from the airport. Approximate cost one-way:

  • Uber/Lyft: $20-25
  • Taxi: $20-25


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 14, 2018 to receive a refund (less a $100 processing fee.)  After this deadline, registration fees are non-refundable, but substitutions are permitted.  Hotel cancellations must be made directly with the hotel.


  • 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.


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

Attendee Rates: 3-Day Full Meeting and Forums

Registration Options and Rates Early

(Ends August 12)


(Ends September 12)


(After September 12)

Daily Fee


N/A N/A $150 N/A
State Government $325 $350 $375 $200
Federal Government $650 $750 $875 $600
Non-member/Other $1,300 $1,550 $1,700 $1,000
Spouse/Guest $250 $300 $350 N/A



Print Friendly, PDF & Email