Jul 8
2019

The North American Securities Administrators Association (NASAA), marking 100 years of protecting investors, will hold its annual meeting Sept. 8-10 in Austin.

Registration is now open for the meeting, which will bring together securities regulators from U.S. states, the District of Columbia, Canadian provinces, and Mexico. The deadline to register and book the host hotel is Aug. 16.

Robert Cook, the president and CEO of the Financial Industry Regulatory Authority, is scheduled to address the meeting on Sept. 9.

Panel discussions include:

  • The SEC's recently adopted Regulation Best Interest Rule;
  • Enforcement and examination initiatives of state regulators, the SEC, and FINRA; and
  • A look back at how NASAA members coordinated to unravel a massive investor fraud in the 1990s.