NASAA lauds investor protection, service effort


North American Securities Administrators Association (NASAA) officials are touting the benefits of regulators and industry convening in the coming months to discuss this year’s theme, “100 Years of Protecting Investors.”

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“We are looking forward to launching our second century of investor protection and service,” Michael S. Pieciak, NASAA president and Vermont Commissioner of Financial Regulation, said. “Under the direction of meeting chair and Texas State Securities Board Commissioner Travis Iles, NASAA has put together a program that honors our history and focuses our attention on the challenges on the horizon.”

Participants from throughout North America will gather at the annual session slated for Sept. 8-10 in Austin, Texas. FINRA CEO and President Robert Cook will deliver the keynote address while incoming NASAA President and New Jersey Securities Bureau Chief Christopher Gerold will offer the presidential address.

Attendees will also have an opportunity to learn about the regulatory initiatives and work underway at NASAA and its various committees. Presentations will cover a broad array of topics from the regulation of investment advisers and broker-dealers to enforcement trends, investor education programs, and corporate finance initiatives.

The program is scheduled to begin with a one-on-one discussion between Ohio Securities Commissioner Andrea Seidt and SEC Investor Advocate Rick Fleming addressing a range of recent regulatory activity, including standards of care for broker-dealers and the SEC’s concept release on exempt securities offerings.

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