Upcoming Events

2011 NASAA Annual Conference
Where: Hyatt Regency Hotel, Wichita, Kansas

When: September 11-13, 2011

Make Plans Now to Attend NASAA’s Annual Conference
Please join the North American Securities Administrators Association as it celebrates 100 years of Blue Sky Law. The conference will provide an excellent opportunity to network with professionals from the worlds of finance and investment, securities regulation, and public policy.




  • The First 100 Years
    • Veteran state securities regulators look back on lessons learned from the first century of blue sky law.
  • Dodd-Frank Dust Up
    • Leading voices in the Dodd-Frank implementation process debate Dodd-Frank’s future with a spotlight on IA reuglation and the standard of care investors can expect when receiving advice about securities.
  • The Next 100 Years
    • Top securities experts explore issues likely to face investors, regulators and industry with a focus on the growing global nature of securities markets and regulation.


  • Broker-Dealer
  • Corporation Finance
  • Investment Adviser
  • Investor Education
  • Enforcement
  • Joint Web CRD/IARD


At a Glance

Featured Speakers

Elisse Walter
U.S. Securities

Lou Heldman
Interim Director
Distinguished Senior Fellow
Elliot School

Jack Herstein
Assistant Director of


The First 100 Years

  • Craig Goettsch
    Iowa Securities Bureau Securities Counsel (moderator)
  • Lewis Brothers
    former Virginia Securities Director and NASAA President
    Philip Feigin
    former Colorado Securities Commissioner and NASAA President
  • Denise Voigt Crawford
    former Texas Securities Commissioner and NASAA President
  • Robert Lam
    Pennsylvania Securities Commissioner

Dodd-Frank Dust Up

  • Preston DuFauchard
    California Corporations Commissioner (moderator)
  • Ken Bentsen
    Executive Vice President of SIFMA
  • Stephen Luparello
    FINRA Vice Chairman;
  • Barbara Roper
    Director of Investor Protection, Consumer Federation of America
  • David Tittsworth
    Executive Director, Investment Advisers Association

The Next 100 Years

  • Benette Zivley
    Texas Securities Commissioner (moderator)
  • Jean Lorrain
    Director of International Affairs, Autorité des marchés financiers
  • George (Tres) Arnett
    Executive Vice President/General Counsel, HedgeMark International, LLC
  • Elizabeth Jacobs
    Deputy Director, Office of International Affairs, U.S. Securities and Exchange Commission

Conference Registration In Formation
Registration is now open for the 2011 Annual Conference. To register, download and complete the registation form below. Register by September 1 to take advantage of early registration rates.

Registration Form 

Hyatt Regency Hotel – Reserve your room now!
Room Reservation Deadline: August 26, 2011

For guest room reservations, please call the Hyatt Regency Hotel at (316) 293-1234.  Ask for the North American Securities conference rate or give the reservation agent group code: NASAA Fall Conference.  NASAA discounted rate is $119 per night (single/double occupancy).

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