January 19, 2011

NASAA Ombuds Will Hear from Investors in Washington Next Month

Matt Neubert, the current Ombudsman for the North American Securities Administrators Association, will hold his biannual meeting during the 2011 Public Policy Conference in Washington, DC on February 28. The NASAA Ombuds program is a neutral and confidential resource for securities industry stakeholders with issues or concerns regarding NASAA and state securities regulation. Neubert also serves as the Director of Securities for the State of Arizona and was the Chair of NASAA's Broker-Dealer Section from 2006-2009.

According to the NASAA Ombuds website:
The NASAA Ombudsman is available to discuss matters in a confidential manner and to help assist with the resolution of these matters by identifying options for resolving the issue and/or by directing the issue to the appropriate party or office. Additionally, the NASAA Ombudsman can help provide guidance on recent developments, trends, issues and policies affecting state securities regulation.
In addition to biannual public meetings, the NASAA Ombuds will meet with individuals throughout the year on an ad hoc basis. (NASAA 2011 Public Policy Conf. Info.)

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