Indianapolis Conference to Explore Diminished Capacity, High-Frequency Trading, and State Efforts to Help Small Businesses Raise Capital

WASHINGTON, DC (August 18, 2014) – The North American Securities Administrators Association’s 97th Annual Conference will be held in Indianapolis, Indiana, from September 14-16 to identify the challenges facing investors and those who serve diligently on the front-lines to protect them. Experts from the worlds of finance and investment, securities regulation, and public policy will come together to forecast and discuss resolutions for problem areas in key public policy issues facing investors and the investment industry.

“We are pleased to present an exciting program this year to provide regulators and industry alike with fresh thoughts and insights to help meet tomorrow’s challenges,” said NASAA President and Ohio Securities Commissioner Andrea Seidt.

The three-day conference, chaired by Indiana Securities Commissioner Carol Mihalik, will provide attendees with thought-provoking subject matter and discussions led by an outstanding and varied lineup of speakers. Speakers include Indiana Governor Mike Pence, Indiana Secretary of State Connie Lawson, Frank Vogel, head coach of the NBA’s Indiana Pacers, and noted political scientist Norman J. Ornstein, co-author of It’s Even Worse Than It Looks: How the American Constitutional System Collided With the New Politics of Extremism.

The conference will offer three special discussions. The first is a NASAA Forum tackling the critical issue and growing challenge of protecting investors with diminished capacity and other cognitive impairments. A diverse group of medical and financial experts, securities regulators, industry representatives and senior advocates will address the complex and problematic issue afflicting an ever-increasing population of senior investors. The forum is moderated by Illinois Securities Department Director Tanya Solov and features 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; and Dr. Robert Roush, Texas Consortium Geriatric Education Center, Huffington Center on Aging, Baylor College of Medicine.

The second discussion will feature New York Investor Protection Bureau Chief Chad Johnson and University of Notre Dame Professor of Finance Robert Battalio for an in-depth examination of the impact of high-frequency trading on investor confidence and market integrity.

Finally, the conference will hear the insights of successful entrepreneurs regarding raising capital through equity crowdfunding at the local level and how state and provinces can help promote small business capital formation. Moderated by Commissioner, the discussion will feature Chris Baggott,Tyner Pond Farm & Husk LLC, Exact Target, and Compendium; Mike Langellier, TechPoint, Kevin Hitchin, Local Stake; Henry Schwartz, MobCraft Beer, Inc.; and Jason Wiens, The Kauffman Foundation.

In addition, the conference will include open discussions with NASAA Section Committees on subjects related to broker-dealers, investment advisers, corporation finance, enforcement, investor education and CRD and IARD issues. The conference will be held at the Westin Indianapolis Hotel in Indianapolis, Indiana. Details on conference registration and hotel reservations are available on NASAA’s website here.

For More Information:
Bob Webster | Director of Communications


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