Location
Dates
Hotel Deadline
October 26, 2026
Registration
Open
Register Now for the 2026 NASAA Regulatory Systems and Services Symposium
The inaugural RSS Symposium will bring together state regulators, industry, and NASAA Corporate Office staff to explore the latest regulatory developments, share best practices, discuss system functionality, and strengthen collaboration across the securities landscape. Topics will include common state concerns when reviewing Form U4s and Form ADVs and best practices when filing through the Electronic Filing Depository (EFD). Select sessions are expected to offer IAR CE credit, providing added value as professionals approach year-end requirements.
Mark your calendar and stay tuned for more details. We look forward to seeing you in Dallas!
Preliminary Symposium Schedule
(subject to change)
Day 1 – Tuesday, November 17, 2026
7:00 AM – 8:30 AM | Networking Breakfast
8:30 AM – 8:45 AM | Welcome Remarks
Speakers:
- Elizabeth Bowling, President-Elect, NASAA
8:45 AM – 9:30 AM | State Rules and Regulations Updates
Speakers:
- Stephen Bouchard, Associate Commissioner for Securities, District of Columbia Department of Insurance, Securities & Banking
- Robert Cummings, Director, Utah Division of Securities
- Marni Gibson, President, NASAA
- Melanie Lubin, Securities Commissioner, Maryland Division of Securities
9:30 AM – 10:00 AM | Networking Break
CRD Track
EFD Track
Select the sessions most relevant to your work. You may attend sessions in either track for the remainder of Day 1.
10:00 AM – 10:50 AM | Qualification Exam Nuances and EVEP Requirements
11:00 AM – 11:50 PM | Form U4 - Dos & Don'ts
10:00 AM – 10:50 AM | Meet your EFD Support Team
11:00 AM – 11:50 PM | Form D Best Practices and Common Mistakes
12:00 PM – 1:00 PM | Networking Lunch
1:00 PM – 1:50 PM | IAR CE - Requirements, Course Catalog and Provider Tips
2:00 PM – 2:50 PM | Gateway Reporting and FinPro Opportunities for Investment Advisers and their Representatives
1:00 PM – 1:50 PM | Form NF Filing Functionality through EFD
2:00 PM – 2:50 PM | FRED & Franchise Filing Best Practices
2:50 PM – 3:20 PM | Networking Break
3:20 PM – 4:10 PM | Common IA Issues and Violations
4:10 PM – 5:00 PM | Broker-Dealer State Best Practices
3:20 PM – 4:10 PM | EFD's Universal Filing Type
4:10 PM – 5:00 PM | Emerging Products and Issues
5:00 PM – 6:30 PM | Networking Reception
Day 2 – Wednesday, November 18, 2026
7:30 AM – 8:30 AM | Networking Breakfast
8:30 AM – 9:20 AM | Protecting Seniors
9:30 AM – 10:20 AM | NASAA Section Updates
10:20 AM – 10:45 AM | Networking Break
10:45 AM – 12:00 PM | Ask the Regulator
Registration is Open
Registration is currently open for industry participants. The registration fee of $500 includes in-person access to the full event program, scheduled meals, and networking activities.
Registration is subject to availability. A limited number of seats have been reserved for NASAA member regulators to be released at a later date. Any unused capacity may be released for additional industry registrations as space permits.
What’s Included:
- Full access to all educational sessions
- Symposium meals and refreshment breaks
- Networking reception
- Presentation materials (where available)
- IAR CE credit
The Kimpton Pittman Hotel
Welcome to Dallas, a city bursting with commerce, culture and high class charms. From the indie heart of Downtown Dallas Deep Ellum neighborhood, where legendary 20s blues musicians once played, The Kimpton Pittman Hotel celebrates its storied past with contemporary flourishes.
Gather inside our American tavern for wood fired plates or settle around the outdoor deck for craft beers and live music. And, work or play, our art filled common areas make the perfect meeting place for coffee and cocktails.
Later, venture outside for vibrant street murals, cafes, craft breweries and 30 music venues.
General Information
The Kimpton Pittman Hotel is located at 2551 Elm Street, Dallas, TX, 75226. Twenty miles from Dallas Fort Worth International Airport and 6 miles from Dallas Love Field, the hotel is located in the vibrant neighborhood of Deep Ellum.
