Saturday, March 28, 2015

SEC Investor Advocate to Keynote NASAA’s Public Policy Conference

[This story previously appeared in Securities Regulation Daily.]

By John M. Jascob, J.D.

NASAA has announced that SEC Investor Advocate Rick Fleming will keynote NASAA’s 30th Annual Public Policy Conference next month in Washington, D.C. This year’s conference, "Progress Through Innovation," will focus on the steps that states and Canadian provinces are taking to protect investors while fostering local entrepreneurial initiatives and economic growth.

Appointed to the position last year by Chair Mary Jo White, Fleming became the first person to lead the SEC’s Office of the Investor Advocate, which was created under the Dodd-Frank Act. Immediately prior to his current appointment, Fleming had served as NASAA’s Deputy General Counsel from 2011 to 2014. Fleming has also been General Counsel for the Office of the Kansas Securities Commissioner. A native of Kansas, Fleming holds degrees from Washburn University and Wake Forest School of Law.

In addition to the luncheon featuring Fleming’s keynote address, the conference will feature two panel discussions with financial and regulatory experts. The first panel, "Laboratories of Capital Innovation," will examine the innovative local solutions provided by NASAA member jurisdictions to spur capital formation. The second panel, "Balancing the Risks and Rewards of Technological Financial Innovation," will explore how technological financial innovation and investor protection can coexist to fully benefit investors and firms alike.

The conference will be held on Tuesday, April 14, at the Mayflower Renaissance Hotel in Washington, D.C. Prospective attendees may register on NASAA’s website.