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Speakers Include Securities Regulatory Leaders and Authorities

WASHINGTON, D.C. (September 8, 2021) – Securities regulators, financial industry leaders and investor advocates throughout North America will convene in Chicago, Illinois, September 19-21 for the North American Securities Administrators Association’s (NASAA) 2021 Fall Annual Meeting.

The meeting will kick off with a panel discussion on emerging trends and challenges in the financial sector. Panelists include U.S. Securities and Exchange (SEC) Commissioner Allison Herren Lee; FINRA President and CEO Robert Cook; National Futures Association President and CEO Thomas W. Sexton III; and U.S. Commodity Futures Trading Commission Deputy Director Robert T. Howell. This panel will be moderated by NASAA President-elect and Commissioner of the Maryland Division of Securities Melanie Senter Lubin.

“Our program looks ahead at the changes and challenges on the horizon for investors, the securities industry and state and federal regulators,” said NASAA President and West Virginia Senior Deputy Securities Commissioner Lisa A. Hopkins. “From senior-related concerns to diversity, equity and inclusion issues, our industry is strongest when we work together to support of our mission which is investor protection.”

A panel, moderated by Andrea Seidt, Ohio Division of Securities Commissioner, will explore the challenges of serving the wide array of investment needs of today’s investors. This panel will feature Chicago-Kent College of Law Professor William Birdthistle, Ph.D.; J.P. Morgan Asset Management Managing Director Stephanie D. Neely; Montana Deputy Securities Commissioner and Lead Trustee of The Investor Protection Trust Lynne Egan; and former Massachusetts Securities Division Director Bryan Lantagne.

Moderated by Vermont Department of Financial Regulation Commissioner Michael Pieciak, the third panel will address the role that corporate statements, social media and “influencers” play in the marketplace. This panel will feature Rick Fleming, SEC Investor Advocate; Kevin Carroll, SIFMA Managing Director and Associate General Counsel; Laura Posner, Partner at Cohen Milstein; and William Alvarado Rivera, AARP Foundation Senior Vice President for Litigation.

“In addition to panels featuring key regulators and financial industry experts, our dedicated forums lead by NASAA members will focus on recent developments and future priorities involving broker dealers and investment advisers, corporate finance, investor education and enforcement” added Hopkins.

The meeting’s keynote speaker, Professor Harold Pollack of the University of Chicago and co-author of “The Index Card – Why Personal Finance Doesn’t Have to Be Complicated” will deliver the keynote address on Monday, September 20. NASAA’s incoming president, Melanie Senter Lubin, will deliver her inaugural address on Tuesday, September 21. The meeting will be held in-person and also available virtually.

For more information, click here for meeting and registration details.