2019 Public Policy Roundtable

Washington, DC | May 20, 2019

In-Person Attendance

Virtual Attendance

Virtual Media

Speakers & Panelists

NASAA Members


Who Should Attend
The NASAA Public Policy Roundtable is the nation’s premier spring event for the securities industry. We are planning a robust lineup of speakers and panels that are guaranteed to teach you something new, and (hopefully) entertain you a bit. Oh, and did we say networking? Strong representation is expected from NASAA members and their senior staff members, who are eager to network with you and other members of the securities industry!

In-Person Attendance
If you register to attend in-person, you will be able to attend the presentations by our featured speaker(s) and two public policy roundtable panels, the luncheon when we will begin our celebration of NASAA’s 100-year anniversary, and the reception that evening.

Virtual Attendance
If you don’t have time to travel to Washington DC you register to attend the Public Policy Roundtable in-person, you can now attend virtually, from the comfort of your home or office.  NASAA will stream a virtual webcast of the Featured Speaker(s) and two Public Policy Roundtable panels. This virtual event is a part of our continued effort to offer quality education to a broader audience.

We look forward to seeing you in Washington, D.C. or having you join us online.

Hotel Information

Hotel & Registration Deadline is April 4, 2019

Washington Court Hotel
525 New Jersey Avenue NW
Washington DC

For Reservations call: (202) 683.2313 | Book your room online

Reservation Code: NASAA Spring Meeting

Discounted Rate: $299 + 14.5% tax
Cut-off date: April 4, 2019

Agenda at a Glance

Monday, May 20, 2019

Note: All times listed are tentative and will be finalized soon.

Luncheon with Panel Highlighting NASAA’s Centennial Anniversary
(In-person Attendance Only)
12:15 p.m. – 1:45 p.m.

Panel 1: Corporate Governance and Shareholder Rights
(Live and virtual attendance)
2 p.m. – 3:15 p.m.

A panel of corporate governance experts will explore issues important to shareholders including share classes and voting rights, the rise of ESG investing, proxy advisory firms, and mandatory arbitration clauses in corporate charters


  • Lisa Hopkins, West Virginia Senior Deputy Commissioner of Securities and NASAA Corporation Finance Section Chair


  • Ann M. Lipton, Professor, Tulane University Law School;
  • Patrick McGurn, Executive Director, Institutional Shareholder Services; and
  • Erik Rust, U.S. Chamber Center for Capital Markets Competitiveness.

3:15 p.m. – 3:30 p.m.

Featured Speaker
(Live and virtual attendance)
3:30 p.m. – 3:50 p.m.

Colin Bird, Minister-Counsellor of Economic and Trade Policy, Embassy of Canada

Mr. Bird was a member of the Canadian delegation that negotiated the US-Mexico-Canada Trade Agreement and will discuss the implications of the trade pact for the investment industry.

3:50 p.m. – 4 p.m.

Panel 2: When the States Step Up” – A Discussion of State Securities Enforcement
(Live and virtual attendance)
4 p.m.  – 5 p.m.

Legal experts to examine state enforcement activity against publicly traded companies, including both current and past cases.


  • Christopher Gerold, New Jersey Securities Bureau Chief and NASAA Enforcement Section Chair


  • Bradley Bondi, Partner, Cahill Gordon & Reindel LLP;
  • Chad Johnson, Partner, Quinn Emanuel; and
  • Neal E. Sullivan, Partner, Sidley Austin LLP.

Closing Remarks
5 p.m.

Centennial Reception
5:30 p.m. – 6:30 p.m.

Travel Information

There are three airports in the Washington, D.C. area. The closest airport to downtown Washington is the Ronald Reagan National Airport. Travelers using Amtrak should select Union Station in Washington, DC.

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