Page 32 - 2013_2014 NASAA report

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NASAA Overview

Training & Technology

NASAA continues eforts to enhance the use of technology to
provide resources for its membership. Troughout 2013, NASAA
staf worked with the membership to enhance user knowledge
of the functions and benefts of NASAAs new Electronic
Examination Modules (NEMO) software application. Tis
software enables examiners
to conduct broker-dealer
and investment adviser
Rep. Jim Himes (D-CT) Then-SEC Commissioner Elisse
examinations in a secure,
addressing the Public Walter speaking at the Public
digital environment. Policy Conference. Policy Conference.
NASAA also ofers a
high level of training to
help keep its membership current on the latest developments
in securities regulation and fnancial industry practices. In
2013, NASAA conducted training seminars in Pittsburgh,
Pennsylvania, covering issues related to broker-dealers,
investment advisers, enforcement, and corporation fnance.
In addition, NASAA continued to enhance its distance
education program to enable members to access NASAA training
on demand.
North Carolina Deputy Securities
Administrator David Massey (left) with
Maureen Jensen, Executive Director of the David Wright,
Ontario Securities Commission, and then- Secretary General
Conferences & Events Senate Counsel Tyler Gellasch discuss the of the International
Organization
market environment for investors at the
Public Policy Conference. of Securities
NASAA hosted two major conferences in 2013, bringing Commissioners,
stresses the benefits
together the membership, other regulators, industry of international
representatives, policymakers, academics and the media to explore collaboration.
the latest developments in securities regulation and industry
practices.
Te NASAA membership convened in Washington, D.C.,
in April for NASAAs Spring Conference and Public Policy
Conference. In October, the membership met at NASAAs
Annual Conference in Salt Lake City, Utah. Highlights of both
At the Annual Conference, Maine Securities Administrator
conferences are shown on this page. Make plans now to attend
Judith Shaw (left) moderates a panel examining the arbitration
NASAAs 2014 Annual Conference in Indianapolis, Indiana, in system. Panelists include (from left) Douglas Brown, Manitoba
September 2014. Securities Commission; Ira Hammerman, Securities Industry
and Financial Markets Association; Robert Banks, Banks Law
Office; Andrew Pincus, Mayer Brown; and Professor Barbara
Black, University of Cincinnati College of Law.

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