All: Issues & Advocacy

Putting Investors First: Reviewing Proposals to Hold Executives Accountable

Testimony of NASAA Board member and Maryland Securities Commissioner Melanie Senter Lubin at an April 3, 2019 hearing before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.

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“Putting Investors First? Examining the SEC’s Best Interest Rule”

Written Statement of Michael S. Pieciak President, North American Securities Administrators Association and Commissioner, Vermont Department of Financial Regulation To the U.S. House of Representatives Committee on Financial Services; Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets “Putting Investors First? Examining the SEC’s Best Interest Rule” March 14, 2019 Washington, DC Download (pdf) Good Morning, […]

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“Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement”

Testimony of Joseph P. Borg, President, North American Securities Administrators Association and Director, Alabama Securities Commission, at a June 13, 2018 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment

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A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

Written Testimony of Maryland Securities Commissioner Melanie Senter Lubin submitted for an April 28, 2017 hearing before the U.S. House Committee on Financial Services.

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A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for an April 26, 2017 hearing before the U.S. House Committee on Financial Services.

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The JOBS Act at Five: Examining Its Impact and Ensuring the Competitiveness of the U.S. Capital Markets

Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for a March 22, 2017 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities and Investment.

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The JOBS Act at Four: Examining Its Impact and Proposals to Further Enhance Capital Formation

Written Testimony of NASAA Past-President William Beatty delivered to the House Financial Services Committee’s Subcommittee on Capital Markets and Government Sponsored Enterprises during an April 14, 2016 hearing.

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Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

Written Statement of NASAA President William Beatty provided to the House Financial Services Committee’s Subcommittee on Capital Markets and Government Sponsored Enterprises during an April 29, 2015 hearing.

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Venture Exchanges and Small-Cap Companies

Written Statement of NASAA President William Beatty provided to the Senate Banking, Housing and Urban Affairs Committee’s Subcommittee on Securities, Insurance and Investment during a hearing on Venture Exchanges and Small-Cap Companies, March 10, 2015

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Legislative Proposals to Enhance Capital Formation for Small and Emerging Growth Companies, Part II

Written Testimony of William Beatty, Washington Securities Division Director and President-Elect of the North American Securities Administrators Association, Inc., delivered to the House Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises, May 1, 2014

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