Location
Dates
Hotel Deadline
October 26, 2026
Registration
Opens July 17, 2026
Save the Date: 2026 NASAA Regulatory Systems and Services Symposium
Join NASAA for a new and unique training event designed specifically for industry and financial services professionals who utilize NASAA’s tools and systems.
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!
Agenda
Preliminary Symposium Schedule
Day 1 – Tuesday, November 17, 2026
7:00 AM – 8:30 AM | Networking Breakfast
Training attendees are invited to join NASAA and its members for a casual breakfast before starting the day.
8:45 AM – 9:00 AM | Welcome Remarks
9:00 AM – 9:50 AM | State Rules and Regulations Updates
The panel will discuss updates to rules and regulations provided by NASAA members.
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
10:00 AM – 10:50 AM | Protecting Seniors
Additional details to be announced.
10:50 AM – 11:00 AM | Networking Break
Network with colleagues over coffee and refreshments.
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.
11:00 AM – 11:30 AM | Qualification Exam Nuances and EVEP Requirements
Additional details to be announced.
11:40 AM – 12:30 PM | Form U4 - Dos & Don'ts
Additional details to be announced.
11:00 AM – 11:30 AM | Meet your EFD Support Team
Additional details to be announced.
11:40 AM – 12:30 PM | Form D Best Practices and Common Mistakes
Additional details to be announced.
12:30 PM – 1:30 PM | Networking Lunch
Join your colleagues and peers for lunch and conversation.
1:45 PM – 2:30 PM | IAR CE - Requirements, Course Catalog and Provider Tips
Additional details to be announced.
2:45 PM – 3:30 PM | Gateway Reporting and FinPro Opportunities for investment Advisers and Their Representatives
Additional details to be announced.
1:45 PM – 2:30 PM | Form NF Filing Functionality through EFD
Additional details to be announced.
2:45 PM – 3:30 PM | FRED & Franchise Filing Best Practices
Additional details to be announced.
3:30 PM – 4:00 PM | Networking Break
Network with colleagues over coffee and refreshments.
4:00 PM – 4:50 PM | Common IA Issues and Violations
Additional details to be announced.
4:00 PM – 4:50 PM | EFD's Universal Filing Type
Additional details to be announced.
5:00 PM – 6:30 PM | Networking Reception
Network with colleagues and make new connections.
Day 2 – Wednesday, November 18, 2026
7:30 AM – 8:30 AM | Networking Breakfast
Training attendees are invited to join NASAA and its members for a casual breakfast before starting the day.
8:30 AM – 9:30 AM | NASAA Section Updates
Additional details to be announced.
9:45 AM – 10:30 AM | Broker Dealer State Best Practices
Additional details to be announced.
9:45 AM – 10:30 AM | Emerging Products and Issues
Additional details to be announced.
10:30 AM – 10:45 AM | Networking Break
Network with colleagues over coffee and refreshments.
10:45 AM – 12:00 PM | Ask the Regulator
Additional details to be announced.
Venue
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.
Transportation
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.
