Upcoming Events:

NASAA Public Policy Conference

April 8, 2014

Washington, DC
The Mayflower Hotel

 Register Online


Financial Markets
and Investor Participation

Join securities regulators, financial services industry representatives, legal professionals, academics, investor advocates and legislative and regulatory policymakers for an in-depth look at the key public policy issues facing investors, securities regulators and the investment industry.

Conference Agenda
Tuesday, April 8, 2014

11:15 am – 12:15 pm

Luncheon with SEC Commissioner Kara Stein
12:15 pm – 1:45 pm






Keynote Speaker: Sen. Joe Manchin (D-WV)
2 pm – 2:30 pm






Panel Discussions
2:30 pm – 4:45 pm

  • The Bitcoin Millionaire Next Door:
    Digital Currency and the Next Big Thing

    A panel of financial and regulatory experts will explore the phenomenon of digital investments, focusing on Bitcoin and other new or emerging types of investment that did not exist even a few years ago. Panelists will consider what these new investment opportunities mean for ordinary investors, and for traditional financial services providers. They also will consider how regulators and policymakers are responding to these rapid changes in the investing landscape, and what challenges await.
    • Moderator: Keith Woodwell, Director of the Utah Division of Securities
    • Joe Rotunda, Director, Enforcement Division, Texas State Securities Board
    • David Woo, Managing Director and Head of Global Rates & Currencies Research, Bank of America/Merrill Lynch
    • Charles A. Vice, CSBS Chairman and Kentucky Department of Financial Institutions Commissioner
    • Moad Fahmi, Financial Markets Specialist, Autorité des marchés financiers
  • Restoring Main Street Investors to the Capital Markets
    Despite the recent bull market, large numbers of Main Street investors still appear haunted by the 2008 market meltdown and are favoring investments in gold, real estate and other nontraditional investments over securities. Stock ownership among Americans reached an all-time low last year leaving half of middle-income investors sitting on the sidelines as the market reached record levels. A panel of securities industry and regulatory experts will explore this phenomena and discuss how a better understanding of it could help shape reforms to the structure of capital markets in a way that encourages Main Street to return to Wall Street. Panelists also will examine how capital markets, financial regulators and investors have been affected by what observers say is the most divisive, polarized and least productive Congress in decades
    • Moderator: Mike Rothman, Commissioner of the Minnesota Department of Commerce
    • Professor J. Robert Brown, Sturm College of Law at the University of Denver
    • Kenneth Bentsen, President and CEO, SIFMA
    • Paul Jiganti, Managing Director, Market Structure and Client Advocacy, TD Ameritrade

Ombudsman Meeting
5 pm – 6 pm

6 pm – 8 pm


2013 NASAA Public Policy Conference

Hotel Reservation

The Mayflower Renaissance
1127 Connecticut Avenue, NW
Washington, DC 20036

Deadline for hotel accommodations:
March 12, 2014
Book Your Room Online
Hotel website

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

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.
Ronald Reagan National Airport
is the closest airport to
downtown Washington.

Travelers to 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.



NASAA Annual Conference

September 14-16, 2014

Indianapolis, IN
The Westin Hotel                                                                                                               

 Previous events