NASAA 2021 Virtual Public Policy Symposium

Join us for NASAA’s Public Policy Symposium, the nation’s premier spring event for the securities industry. Held entirely online, this year’s meeting features a presentation by U.S. Senator Shelley Moore Capito (R-WV). The Symposium also includes two panels that will provide a unique opportunity to hear the most up-to-date information on the securities policy outlook for the 117th Congress and an in-depth conversation about the lessons learned from the on-going GameStop saga. This complimentary event is open to NASAA members and their employees, other state and federal regulators, industry, and the media.


Wednesday, May 19, 2021

1:45 p.m. – 2:00 p.m.
Opening Remarks

2:00 p.m. – 3:15 p.m.
Panel 1: 117th Congress Policy Outlook
For the first time in a decade, Democrats have unified control of Congress and captured the White House.  The Senate Banking Committee has new leadership and priorities.  And for the first time in four years, a host of new policy recommendations seem to be seriously in the mix, both on the Hill and at the agencies.  At the same time – the Democratic majorities in Congress are razor thin. The Senate is split evenly with VP Harris as the tie breaker.  NASAA Director of Policy and Government Affairs, Mike Canning will moderate a discussion of current and former senior Hill Staff to sift through the issues that are in play and better understand what to expect over the next two years, and what the impact could be for securities regulators and the securities industry.

Moderator: Mike Canning, NASAA
Panelists: Karolina Arias, Federal Hall Policy Advisers; Katelynn O. Bradley, Brownstein Hyatt Farber Schreck, LLP; Mark Uyeda, United States Senate Committee on Banking

3:15 p.m. – 3:30 p.m.

3:30 p.m. – 3:55 p.m.
Featured Speaker
Senator Shelley Moore Capito

3:55 p.m. – 4:10 p.m.

4:10 p.m. – 5:25 p.m.
Panel 2: Who’s Left Holding the Bag? Lessons Learned for Retail Investors from the GameStop Saga
Regulators, legislators and Wall Street professionals are examining issues brought to light earlier this year by the sudden price volatility of certain publicly traded companies. The typical dynamics of the stock markets were turned upside down in February as heavily shorted stocks went on a roller coaster ride, fueled largely by commentary in social media platforms and online brokerages that cater to retail investors and offer access to sophisticated products (such as options) with limited determinations of suitability. A panel of regulators and industry experts will examine the lessons learned for retail investors from the “democratization” of the stock market, the impact of social media and gamification on new and inexperienced investors.

Moderator: Marni Rock Gibson, Kentucky Department of Financial Institutions
Panelists: Tyler Gellasch, Healthy Markets Association; Stephen W. Hall, Better Markets; Katrina Prokopy, Alberta Securities Commission

5:25 p.m. – 5:30 p.m.
Closing Remarks  

Register Here

Registration Instruction  

Step 1: Click on "Register Here" above.
Step 2: Once you get to NASAA Learning, click on "Log In".
Step 3: If you already have an account with NASAA's website, sign in with your username and password.
Step 4: If you do not have an account with NASAA's website, click on "Create a new Account".
Step 5: Click on "2021 NASAA Virtual Public Policy.
Step 6: Click on "Register Here".
Step 7: Click on black "register (free) button to complete registration.
Step 8: "You are Registered" should appear on the top right of the page.
Step 9: Check your email for a registration confirmation.The instructions to log into the virtual meeting will be sent to you prior to the event.