WASHINGTON, D.C. (July 22, 2019) – Securities regulators and industry participants from throughout North America will convene in September to launch the second century of the North American Securities Administrators Association’s (NASAA) at the association’s annual meeting in Austin, Texas.
Under the theme “100 Years of Protecting Investors,” the meeting will be held September 8-10. Meeting details and registration information are available on the NASAA website at www.nasaa.org.
“We are looking forward to launching our second century of investor protection and service. Under the direction of meeting chair and Texas State Securities Board Commissioner Travis Iles NASAA has put together program that honors our history and focuses our attention on the challenges on the horizon,” said Michael S. Pieciak, NASAA President and Vermont Commissioner of Financial Regulation.
NASAA is pleased to announce that FINRA CEO and President Robert Cook will deliver this year’s keynote address. NASAA’s incoming president, New Jersey Securities Bureau Chief Christopher Gerold, will deliver the presidential address on Tuesday, September 10.
The program starts with a one-on-one discussion between Ohio Securities Commissioner Andrea Seidt and SEC Investor Advocate Rick Fleming covering a broad range of recent regulatory activity including standards of care for broker-dealers and the SEC’s concept release on exempt securities offerings. A second discussion, moderated by Alabama Securities Commission General Counsel Amanda Senn brings together members of a NASAA task force that helped tackle a Wall Street giant and the award-winning author Kurt Eichenwald who chronicled their work in his book “Serpent on the Rock.” The third discussion, moderated by Texas Securities Commissioner Travis Iles, explores state and federal enforcement and examination programs and their continued focus on retail investors. The final discussion, moderated by Sharon Kelly of the Quebec Autorité des Marchés Financiers and chair of NASAA’s International Committee, will discuss international regulatory issues in Canada and Mexico.
The meeting also offers attendees an opportunity to hear about the regulatory initiatives and work underway at NASAA and its various committees. These presentations will cover a broad array of topics from the regulation of investment advisers and broker-dealers to enforcement trends, investor education programs, and corporation finance initiatives.
NASAA is offering a discounted registration fee for those who register by August 15, 2019.