Page 27 - 2013_2014 NASAA report

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NASAA Activity | Sections

Investment Adviser

Overview 2013-2014 Section Committee 2012-2013 Section Committee

NASAAs Investment Adviser Section develops policies Patricia Struck (WI), Chair Andrea Seidt (OH), Chair
and monitors state registration and regulation of frms and Linda Cena (MI), Vice Chair Linda Cena (MI), Vice Chair
professionals in the investment advisory business. Te Section Shonita Bossier (KY) Shonita Bossier (MS)
also develops uniform policies for ethical business practices Teodore Miles (DC) Teodore Miles (DC)
and model rules to enforce the investment advisory provisions Ronak Patel (TX) Ronak Patel (TX)
of state law. Te Section oversees the activities of the Exams Susan Pawelek (ON) Susan Pawelek (ON)
Advisory, Operations, Regulatory Policy and Review, Training, A. Valerie Mirko (NASAA) A. Valerie Mirko (NASAA)
and Investment Adviser Zones project groups and works
closely with the CRD/IARD Steering Committee. 2013-2014 Project Group Chairs 2012-2013 Project Group Chairs
Sheila Cahill (NE) Sheila Cahill (NE)
IA Exams Advisory IA Exams Advisory
Michael Huggs (MS) Michael Huggs (MS)
IA Operations IA Operations
Gregory Abram (MA) Gregory Abram (MA)
Regulatory Policy and Review Regulatory Policy and Review
Clinton Edgar (TX) William Carrigan (VT)
& David Swaford (CO) & Maurice Kamhi (CA)
IA Training IA Training
Oscar Gonzalez (TX) David Swaford (CO)
IA Zones IA Zones

Andrea Seidt of Ohio, 2012-2013 Investment Adviser
Section Chair and current NASAA President, questions
attorney Eugene Scalia during a panel discussion on cost-
benefit analysis at NASAA’s Public Policy Conference in
Washington, DC.

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