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| Michael S. Pieciak, Vermont DFR Commissioner |
The organization is holding its annual meeting in Anchorage, Alaska, where Pieciak delivered his first address to member as elected leaders. “I am honored to lead our association into its second century of service to our members, to the securities industry, and, most importantly, to Main Street investors throughout North America,” said Pieciak in his inaugural address. “We’ve been on the beat protecting investors during times of boom and bust. From ticker tape to the blockchain, NASAA members have worked together to adapt and advance our mission of investor protection.”
During his address, Pieciak outlined the focus of his presidency, which will include initiatives to preserve state regulatory authority by modernizing the association’s operations, as well as initiatives related to millennial investors, cybersecurity, financial technology, cryptocurrency enforcement matters, multijurisdictional enforcement matters, and standards of care. He also said NASAA will launch a campaign next year to commemorate the 100th anniversary of its formation.
Pieciak served as NASAA’s president-elect over the past year, and has been chair of its board-level Fintech and Capital Formation committees as well as a non-voting member of the SEC Advisory Committee on Small and Emerging Companies.
Commissioner Pieciak was appointed by Governor Shumlin in July 2016 and re-appointed by Governor Phil Scott in December 2016 to serve as commissioner of Vermont’s Department of Financial Regulation. In that capacity, he's the chief regulator of Vermont’s financial services sector, including the insurance, captive insurance, banking and securities industries. Previously, he was the Department's deputy commissioner of Securities, where he led the investigation into the Jay Peak EB-5 projects.
This post adapted from Vermont Business Magazine.
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