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Welcome

Join us for NASAA’s Spring Meeting | Public Policy Symposium, the premier spring event for the securities relations industry. Themed “Investor Protection in a Digital Age", the program will open with U.S. Securities and Exchange Commission Chair Gary Gensler, who will deliver remarks focused on retail investor matters, followed by a question-and-answer session with NASAA President and Maryland Securities Commissioner Melanie Senter Lubin. The Symposium also includes in-depth conversations on policy issues relating to efforts to expand awareness of and knowledge of our capital markets among investors of all ages and backgrounds. This event is open to NASAA members, their employees, state and federal regulators, industry firms and representatives, media, and any interested members of the public.

Agenda

12:00 p.m. - 4:00 p.m.
Registration Public Policy Symposium

12:15 p.m. - 1:00 p.m.
Public Policy Symposium: Session 1: Keynote Address from SEC Chair Gary Gensler and Fireside Chat Between Chair Gensler and NASAA President Melanie Senter Lubin

1:00 p.m. - 2:15 p.m.
Public Policy Symposium Luncheon

2:30 p.m. - 3:45 p.m.
Public Policy Symposium: Session 2: Welcoming Remarks and Panel 1: The Implications of New Technologies for Financial Inclusion and Investor Protection

  • Opening Remarks: Joseph Brady, NASAA Executive Director
  • Welcoming Remarks: Karima M. Woods, Commissioner, District of Columbia Department of Insurance, Securities & Banking
  • Presidential Address: Melanie Lubin, NASAA President, Maryland Division of Securities

Public Policy Symposium Panel #1: The Implications of New Technologies for Financial Inclusion and Investor Protection 

During this session, panelists examine policy issues relating to efforts to expand awareness of and knowledge of our capital markets among investors of all ages and backgrounds. Panelists will discuss and debate opportunities and challenges for using technology to create more access to saving and investing.

 Moderator: Claire McHenry, Nebraska Department of Banking & Finance, Bureau of Securities 
 Panelists: 

  • Bruce Johnson, Financial Technology Association
  • Andrew Park, Americans for Financial Reform & Americans for Financial Reform Education Fund
  • Cary Martin Shelby, Washington and Lee University School of Law
  • Tom Quaadman, U.S. Chamber of Commerce

3:45 p.m. - 3:55 p.m.
Break

3:55 p.m. - 4:25 p.m.
Public Policy Symposium: Session 3: Fireside Chat#2

  • Joseph Borg, Alabama Securities Commission
  • Rostin Behnam, Chairman, U.S. Commodity Futures Trading Commission

4:35 p.m. - 5:35 p.m.
Public Policy Symposium: Session 4:  Panel 2: Symposium Takeaways for the Policy Community
Drawing on their own professional experiences, panelists from various industries share their perspectives on the topics explored during NASAA’s Public Policy Symposium and provide recommendations for ways we can protect investors in a digital age.

Moderator: Justin Burse, Kentucky Department of Financial Institutions
Panelists:

  • Michael Piwowar, The Milken Institutes
  • Kara M. Stein, The Public Company Accounting Oversight Board
  • Urska Velikonja, Georgetown Law Center

5:35 p.m. - 5:40 p.m.
Closing Remarks

5:45 p.m. - 7:15 p.m.
Public Policy Symposium Networking Reception

Dress Code: The dress code for the Public Policy Symposium on Tuesday, May 17 is business attire.