Upcoming Events:

NASAA Public Policy Conference

April 14, 2015

Washington, DC

Progress Through Innovation




Registration is now open for the 2015 NASAA Public Policy Conference

U.S. Supreme Court Justice Louis Brandeis famously wrote, “It is one of the happy incidents of the federal system that a single courageous state may, if its citizens choose, serve as a laboratory; and try novel social and economic experiments without risk to the rest of the country.” States soon became known as “laboratories of democracy.”

Today, it may be more appropriate to think of states and Canadian provinces, as “laboratories of innovation” where bold ideas and policies take shape to protect investors while fostering local entrepreneurial enterprise and national economic growth. Join securities regulators, financial services industry representatives, legal professionals, academics, investor advocates and legislative and regulatory policymakers for an in-depth look at how  how regulators and industry balance the risks and rewards of technological financial innovation.

2015 Conference Agenda

Tuesday, April 14
Registration 11 am – noon

Keynote Luncheon
12:15 pm – 1:30 pm

Fleming Headshot
SEC Investor Advocate Rick Fleming

1:45 pm – 4:30 pm

  • Laboratories of Capital Innovation
    Long recognized for their service on the frontline of investor protection, NASAA member jurisdictions increasingly are becoming known for providing innovative local solutions to spur capital formation. A panel of experts representing policymakers, regulators, business and academia examines this growing trend and explains what it signals for the prospects of national economic growth as states successfully serve as incubators of small business development while at the same time protecting investors. The panel will examine the innovative steps that states have taken and continue to take to help small business access investment capital.
  • Balancing the Risks and Rewards of Technological Financial Innovation
    Rapidly evolving technologies are blazing new trails in technological innovation designed to improve efficiencies for investors and firms, as well as to provide new products and services. The interaction between securities regulators and the industry they regulate has never been more critical as both work to identify and manage the risks and rewards of technological change. Are there benefits for investors? What are the drawbacks? And what are the challenges of technological innovation on the heavily regulated financial services industry? A panel of regulatory and industry experts will address these and other questions as they discuss how technological innovation and investor protection can coexist to fully benefit investors and firms alike.

Ombudsman Meeting
4:45 pm – 5:30 pm

In recognition of former Executive Director Russ Iuculano’s service to NASAA
5:30 pm – 7 pm
National Geographic Society Museum

Public Policy Conference

Hotel Reservations

The Mayflower Renaissance

1127 Connecticut Avenue,
NW Washington, DC 20036

Deadline for hotel accommodations:
March 20, 2015

Book Your Room Online

To make reservations by phone,
call 1-800-HOTELS-1
in the United States and Canada.

Rates Discounted Rate: $259
plus 14.5 percent tax
(Single/Double Occupancy)

Reservation Code:
“NASAA Spring Conference”

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 to the Ronald Reagan
National Airport may choose
to ride the Metro.  Please check
www.wmata.com for detailed directions
on getting to the Farragut North
station nearest the hotel
on the Red Line.