All: Testimony

Federal and State Enforcement of Financial Consumer and Investor Protection Laws

March 20, 2009 – Written testimony of Delaware Securities Commissioner James B. Ropp, delivered to the House Committee on Financial Services, regarding ways to enhance our ability to pursue financial fraud and prosecute the perpetrators of those crimes.

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Shopping Smart and Avoiding Scams: Financial Literacy During the Holiday Season

December 13, 2007 – Written testimony of North Dakota Securities Commissioner, and NASAA President Karen Tyler, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, regarding protecting investors during the holiday season.

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S. 1782, the Arbitration Fairness Act of 2007

December 12, 2007 – Written testimony of Illinois Securities Commissioner Tanya Solov, delivered to the Senate Judiciary Subcommittee on the Constitution, regarding S.1782, the Arbitration Fairness Act of 2007

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Regulatory Preemption: Are Federal Agencies Usurping Congressional and State Authority?

September 12, 2007 – NASAA written statement submitted to the Senate Judiciary Committee regarding regulatory preemption.

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Advising Seniors About Their Money: Who Is Qualified?

September 5, 2007 – Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg, delivered before the Senate Special Committee on Aging, regarding advising seniors on their money.

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Should Small Investors be Exposed to the Risks of Hedge Funds?

July 11, 2007 – Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg delivered before the House Oversight and Government Reform Subcommittee on Domestic Policy regarding the exposure of small investors to hedge funds.

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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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