2019 Annual Meeting

REGISTRATION INFORMATION:

HOTEL INFORMATION:

The Hyatt Regency Austin
208 Barton Spring Road
Austin, Texas 78704

Hotel & Registration Deadline is August 16, 2019

For reservations call (512) 477-1234 or Book your room online.

Reservation Code: NASAA Fall Meeting | Discounted Rate: $219 + 15% tax


MEETING DETAILS


DISCUSSIONS & FORUMS

PANEL DISCUSSIONS

Standards of Care/Regulation Best Interest
At the 2018 NASAA Annual Meeting, we looked to the future of the Reg BI package the SEC had issued in April 2018. The DOL fiduciary duty rule litigation had wrapped up, the Reg BI comment period had just ended, and we asked a panel of experts to debate the merits of various standards of care. A year later, the Reg BI package has been finalized, have there been any surprises? Unexpected outcomes?

A True David and Goliath Story: How State Securities Regulators Helped Tackle a Wall Street Giant
As the closest regulators to investors, state securities regulators have a history of uncovering systemic abusive sales practices in the securities industry. By leveraging resources, NASAA members have launched a series of multijurisdictional enforcement initiatives that have led to the return of billions of dollars to harmed investors. Many of these cases start with a single harmed investor and a state regulator willing to listen. Such was the case in the early 1990s when a task force of state securities regulators took on a trusted Wall Street giant and helped unravel a pattern of fraud and deceit that led to a then-record multi-million dollar return to investors. As part of NASAA’s 100-year anniversary, a conversation among some of the task force’s participants will take the audience inside one of the largest frauds Wall Street has seen. They also will discuss how fraudsters continue to use speculative and sometimes fraudulent private placements to lure unsuspecting investors, especially seniors.

Enforcement and Examination Initiatives to Protect Retail Investors
State and federal regulators continue active enforcement and examination programs, with a continued focus on retail investors. But how do those programs differ, and how they are similar. Join us for a discussion on recent enforcement and examination initiatives of state regulators, the SEC and FINRA. Topics include: enforcement actions and investor educational initiatives regarding ICOs; fees and costs; combating Ponzi schemes; the mutual fund share class initiatives; unregistered broker-dealer and investment advisory activity; and senior investor protection.

International Regulatory Update
A panel of Canadian and Mexican securities regulators will address issues of importance in their jurisdictions, including standards of care issues, market structure issues, and registration issues. Panelists will also discuss their jurisdiction’s involvement in IOSCO and COSRA and how they partner with U.S. state and federal securities regulators in their cross-border work.

FORUMS

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

PRELIMINARY AGENDA

Meeting Location:

Hyatt Regency Austin Hotel
208 Barton Springs Road
Austin, Texas 78704

* Closed meeting: NASAA members only 

Saturday, September 7, 2019

9 a.m. – 5 p.m.
Board of Directors Meeting*
Foothills Ballroom II, 17th Floor

Sunday, September 8, 2019

7:30 a.m. – 9 a.m.
Continental Breakfast
Texas Ballroom Foyer, Second Floor

8 a.m. – 9 a.m.
New NASAA Member Breakfast
Hill Country C Ballroom, First Floor

8 a.m. – 9 a.m.
Paralegal Roundtable Program
Texas Ballroom 4-7, Second Floor

9 a.m. – 11:30 a.m.
NASAA Business Meeting*
Texas Ballroom 1-3, Second Floor

11:30 a.m. – 12:30 p.m.
Lunch Buffet
Zilker Ballroom 3-4, First Floor

12:30 p.m. – 1:15 p.m.
Opening Ceremonies
Zilker Ballroom 1-2, First Floor

1:15 p.m. – 2:15 p.m.
PANEL DISCUSSION: Standards of Care/Regulation Best Interest
Zilker Ballroom 1-2, First Floor

2:15 p.m. – 2:30 p.m.
Networking Break
Zilker Ballroom Foyer

2:30 p.m. – 3:30 p.m.
FORUM: Investment Adviser Section
Texas Ballroom 4-7, Second Floor

3:30 p.m. – 3:45 p.m.
Networking Break
Zilker Ballroom Foyer

3 45 p.m. – 4:45 p.m.
FORUM: Joint Web CRD/IARD
Texas Ballroom 4-7, Second Floor

6 p.m. – 7:30 p.m.
Welcome Reception
Zilker Terrace, Second Floor

Monday, September 9, 2019

8:30 a.m. – 9:30 a.m.
Continental Breakfast
Texas Ballroom Foyer, Second Floor

9:30 a.m. – 10:30 a.m.
FORUM: Investor Education
Hill Country Ballroom, First Floor

10:30 a.m. – 10:45 a.m.
Networking Break
Texas Ballroom Foyer, Second Floor

10: 45 a.m. – 11 a.m.
Investor Champion Award Ceremony
Zilker Ballroom 1-2, Second Floor

11 a.m. – 12 p.m.
PANEL DISCUSSION: A True David and Goliath Story: How State Securities Regulators Helped Tackle a Wall Street Giant
Zilker Ballroom 1-2, First Floor

12 p.m. – 1:15 p.m.
Luncheon with Featured Speaker Robert Cook, President and CEO
Financial Industry Regulatory Authority
Zilker Ballroom 3-4, First Floor

1:30 p.m. – 2:15 p.m.
FORUM: Corporation Finance Section
Texas Ballroom 4-7, Second Floor

2:15 p.m. – 2:30 p.m.
Networking Break
Texas Ballroom Foyer, Second Floor

2:30 p.m. – 3:45 p.m.
PANEL DISCUSSION: Enforcement and Examination Initiatives to Protect Retail Investors
Zilker Ballroom 1-2, First Floor

3:30 p.m. – 5:15 p.m.
ABA State Regulation of Securities Committee Meeting
Texas Ballroom 4-7, Second Floor

6:30 p.m. – 8:30 p.m.
Offsite Reception
Cooper’s Old Time Pit-Bar-B-Que
Walking Distance from the Hyatt Regency Hotel

Tuesday, September 10, 2019

7:30 a.m. – 8:30 a.m.
Continental Breakfast
Texas Ballroom Foyer, Second Floor

8:30 a.m. – 10:30 a.m.
NASAA Business Meeting *
Texas Ballroom 1-3, Second Floor

10:30 a.m. – 10:45 a.m.
Networking Break
Texas Ballroom Foyer, Second Floor

10:45 a.m. – 11:30 p.m.
PANEL DISCUSSION: International Regulatory Update
Zilker Ballroom 1-2, First Floor

11:45 p.m. – 1:00 p.m.
PRESIDENTIAL LUNCHEON
NASAA President
Zilker Ballroom 3-4, First Floor
1:15 p.m. – 2:15 p.m.

FORUM: Broker-Dealer Section
Texas Ballroom 4-7, Second Floor
2:15 p.m. – 2:45 p.m.

Networking Break
Texas Ballroom Foyer, Second Floor

2:45 p.m. – 3:45 p.m.
FORUM: Enforcement Section
Texas Ballroom 4-7, Second Floor

4:00 p.m. – 5:00 p.m.
NASAA Board of Directors’ Meeting (2019-2020)*
Foothill Ballroom 1, 17th Floor

5:30 p.m. – 8:30 p.m.
President’s Reception and Dinner
Zilker Ballroom Foyer, First Floor


HOTEL INFORMATION

The Hyatt Regency Hotel Austin
208 Barton Springs Road
Austin, Texas 79704

Reservation Deadline: August 16, 2019
For reservations call (512) 477-1234 or Book your room online

Cut-off date, August 16, 2019

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 $219 single/double occupancy per night, plus 15% 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 16, 2019. 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.


LOCAL INFORMATION

Austin welcomes the North American Securities Administrators Association 2019 Annual Fall Meeting. Discover what Austin has in store before, during and after the meeting.

Visit Austin

 

 


CONTINUING LEGAL EDUCATION CREDIT

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. 


NETWORKING EVENTS

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

Welcome Reception
Sunday, September 8, 2019
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 Cooper’s Old Time Bar-B-Que Restaurant
Monday, September 9, 2019
6:30 p.m. – 8:30 p.m.
Visit Cooper’s

Join your friends and colleagues for a relaxing evening reception at the acclaimed Cooper’s Old Time Pit Bar-B-Que. NASAA meeting attendees can network and mingle within the type of food that brings the best of Texas to the world and combines an atmosphere and culture, and a rich understanding of the human experience. The restaurant is very short walk from the Hyatt Regency Austin Hotel.  Attire: Business Casual

President’s Reception & Dinner
Tuesday, September 10
6 p.m. – 9 p.m.
Join us for an entertaining dinner to honor the NASAA President. Attire: Evening Attire 


LOCAL TRAVEL INFORMATION

The Austin – Bergstrom International Airport is located 10 miles from the Hyatt Hotel. The best transportation options are Uber, Lyft and taxicab service. These options are available for your transportation to/from the airport. Approximate cost one-way:

  • Uber/Lyft: $30
  • Taxi: $31

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

Cancellations for the conference must be received in writing and post-marked no later than midnight, August 23, 2019 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.


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 & 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

Attendee Rates: 3-Day Full Meeting and Forums

Registration Options and Rates Early
Ends July 15
Regular
Ends August 15
Late/Onsite
After August 15
Daily Fee
NASAA

(admin/voucher/pg.)

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

 

 

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