NASAA Annual Conference
September 14-16, 2014
Meeting Tomorrow’s Challenges Today
Online Registration is now open for the 2014 NASAA Annual Conference
At the North American Securities Administrators Association’s 97th Annual Conference you will join experts from the worlds of finance and investment, securities regulation, and public policy for an in-depth look at the key public policy issues facing investors, securities regulators and the investment industry.
The Honorable Mike Pence
Governor of Indiana
Norman J. Ornstein
American Enterprise Institute for Public Policy Research
Forums & Events
The Growing Challenge of Protecting Investors with Diminished Capacity
With Alzheimer’s disease and other cognitive impairments afflicting growing numbers of investors, issues relating to diminished capacity increasingly are confronting securities regulators and industry alike. Balancing the needs of client privacy and protection within the parameters of securities regulation and privacy laws often can present a firm with compliance conflicts. A diverse panel of medical and financial practitioners, securities regulators and senior advocates will explore this complex landscape and outline the steps being taken by regulators and industry to ensure that clients with diminished capacity are served in a manner that protects both their privacy and their investments.
- Tanya Solov, Illinois Securities Department
- Patricia Struck, Wisconsin Division of Securities
- Charles P. Sabatino, Commission on Law and Aging, American Bar Association
- Jean C. Setzfand, AARP
- Ronald Long, Wells Fargo Advisors
- Dr. Robert Roush, Texas Consortium Geriatric Education Center, Huffington Center on Aging, Baylor College of Medicine
High-Frequency Trading: A Conversation
New York Investor Protection Bureau Chief Chad Johnson and University of Notre Dame Professor Robert Battalio discuss the impact of high-frequency trading on investor confidence and market integrity.
Raising Capital Through a Local Lens
Amid mounting frustration with the pace of federal rulemaking, entrepreneurs and small business owners increasingly are looking to states for guidance in raising capital. In the two years since Congress passed the JOBS Act, at least 12 states have approved intrastate crowdfunding, with a similar number of states working toward related actions to help small businesses. In Canadian provinces, crowdfunding is emerging as a capital formation tool, as well. This panel will take a unique look at raising equity from a local perspective. We will hear directly from entrepreneurs and small business owners and explore how states and provinces can help to promote small business capital formation through securities offerings.
- Carol Mihalik, Indiana Securities Division
- Chris Baggott,Tyner Pond Farm & Husk LLC; Exact Target; and Compendium
- Mike Langellier, TechPoint
- Kevin Hitchin, Local Stake
- Henry Schwartz, MobCraft Beer, Inc.
- Jason Wiens, The Kauffman Foundation
The Full Conference Package for primary attendees includes attendance at all educational sessions, meetings designated as “open,” and all social events: Sunday Welcome Reception, Monday Evening Reception, Tuesday President’s Dinner, daily continental breakfast, coffee breaks, and brunch/lunches.
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 breakfasts, Sunday brunch and opening session, Sunday Welcome Reception, Monday Evening Reception, and Tuesday President’s Reception and Dinner.
Register for the conference online, or complete the enclosed registration form and send it with a check or money order, in U.S. funds to:
750 First Street, N.E., Suite 1140
Washington, DC 20002
Registration forms must be received prior to August 19 for pre-registration. Only pre-registered participants will be included in the attendee directory. Registration forms received after August 30 will not be processed prior to the conference; however, on-site registration will be accepted.
Payment for the full amount of the registration fee must be made by the first day of the conference. Please make checks payable, in U.S. funds, to NASAA, 750 First Street, N.E., Suite 1140, Washington, DC 20002. Sorry, we do not accept credit cards.
Cancellations for the conference must be received in writing and post-marked on or before August 19 for a refund, less a $100 processing fee. After this deadline, conference registration fees are non-refundable, but substitutions are permitted. If you are registered, yet unpaid, and do not cancel prior to the deadline, or do not show up at the conference, your registration fee will be due upon receipt of invoice. Hotel cancellations must be made directly with the hotel.
Participants are responsible for making their own hotel guestroom reservations. Reservations will be accepted on a first-come, first-serve basis by the hotel and should be made by August 19. Credit card information is required at the time of the reservation booking. You may make reservations by calling (800) 304-8696. When making reservations, you must identify yourself as a North American Securities conference attendee or use our group code: NASAA.
A block of rooms has been reserved at the discounted rate of $159 single/double occupancy, plus 17% tax. The conference rate applies two days prior to and two days after the conference dates based on availability.
This rate may only be available until August 19 or until the discounted rooms are sold out!
The Indianapolis International Airport is located 10 miles from the Westin Indianapolis Hotel. We recommend using the Go Express Travel service for ground transportation to/from the hotel. The shuttle one-way fee is $10.00 and takes approximately 20 minutes for the transfer. The schedule operating hours from the airport to downtown is 8:00 a.m. until 11:00 p.m.
If an attendee chooses to drive, rather than fly, he/she must provide a written statement from their travel agent showing the cost of airfare. The total cost of your ground travel versus air travel shall not exceed the reimbursable cost of a coach class ticket. This includes ALL expenses associated such as incremental lodging, per diem, parking, and any other costs incurred due to driving versus air travel. All requests for personal vehicle mileage MUST SHOW THE ACTUAL NUMBERS OF MILES DRIVEN. NASAA reimburses the IRS standard mileage rate effective at the time of travel
The following events are open to all registered attendees and all registered guests. Name badges are required at all events.
Sunday, September 14
The Westin Hotel
6:00 p.m. – 7:30 p.m.
Monday, September 15
Location To Be Announced
6:00 p.m. – 8:00 p.m.
Tuesday, September 16
President’s Reception and Dinner
The Westin Hotel
Reception: 6:15 p.m., Dinner 7:15 p.m.
Continuing Legal Education (CLE) accreditation will be applied for in all jurisdictions where requested. You must be a primary attendee with no outstanding registration fees due to receive CLE credit. Approximately four hours of continuing legal education will be offered during the conference. Attendees will be responsible for completing a CLE Certificate that will be available at the conference registration desk. Please return the signed and completed certificate to the registration desk before your departure. Certificates can also be mailed to the NASAA Corporate Office by September 30. NASAA is not responsible for submitting CLE Certificates received after September 30.
Photo courtesy of Indianapolis Motor Speedway
The Westin Indianapolis Hotel
50 South Capitol Avenue
Indianapolis, IN 46204
Phone: (317) 262-8100 or
Book your hotel room
$159 plus tax
Group Code: “NASAA Conference”