All: Legislative Activity

Consolidation of NASD and the Regulatory Functions of the NYSE

May 17, 2007 – Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg, delivered before the Senate Banking Subcommittee on Securities, Insurance and Investment, regarding the merger of NASD and New York Stock Exchange Regulation

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The Federal Government's Role in Empowering Americans to Make Informed Financial Decisions

April 30, 2007 – NASAA written statement to the Senate Homeland Security and Governmental Affairs Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia, regarding financial regulation.

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The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

April 30, 2007 – NASAA written statement to the Senate Homeland Security and Governmental Affairs Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia, regarding financial regulation.

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Improving Financial Literacy

September 28, 2006 – NASAA written statement, submitted to the House Financial Services Subcommittee on Financial Institutions and Consumer Credit, regarding Improving financial literacy.

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NASAA Statement at SEC Seniors Summit

July 17, 2006 – Statement of Wisconsin Securities Commissioner, and NASAA President, Patricia D. Struck, delivered at the SEC Seniors Summit.

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Protecting Senior Citizens Against Investment Fraud

March 29, 2006 – Written testimony of Wisconsin Securities Commissioner, and NASAA President, Patricia D. Struck, delivered to the Senate Special Committee on Aging, regarding protecting senior citizens against investment fraud.

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Financial Services Regulatory Relief Legislation

March 1, 2006 – NASAA written statement to the Senate Committee on Banking, Housing and Urban Affairs, regarding financial services regulatory relief legislation.

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H.R. 3505 – The Financial Services Regulatory Relief Act of 2005

September 22, 2005 – Written Statement of the
North American Securities Administrators Association
To The Financial Institutions and Consumer Credit Subcommittee
House Committee on Financial Services

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The Role of State Securities Regulators in Protecting Investors

June 2, 2004 – Written testimony of Connecticut Securities Commissioner, and NASAA President, Ralph A. Lambiase, delivered to the Senate Committee on Banking, Housing, and Urban Affairs United States Senate, regarding the role of state securities regulators in protecting investors.

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The Role of State Securities Regulators in Protecting Investors, Enforcement Overview

June 2, 2004 – Written testimony of Alabama Securities Commissioner Joseph P. Borg, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, regarding the role of state securities regulators in protecting investors.

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