All: Issues & Advocacy

NASAA Comment Letter to House of Representatives in Opposition of H.R. 2930

November 3, 2011 The Honorable John Boehner Speaker United States House of Representatives Washington, DC 20515 The Honorable Nancy Pelosi Minority Leader United States House of Representatives Washington, DC 25015   Dear Mr. Speaker and Madam Leader: I am writing on behalf of the North American Securities Administrators Association (NASAA) to express my opposition to […]

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Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation

September 21, 2011 – Written testimony of Arkansas Securities Commissioner Heath Abshure, delivered to the House Financial Services Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, outlining the unintended consequences investors could face from legislative efforts to loosen regulations on how new and small businesses raise money.

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Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight

September 13, 2011 – Written testimony of Pennsylvania Securities Commissioner Steven Irwin, delivered to the House Financial Services Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, expressing NASAA’s opposition the creation of an SRO to oversee state regulated investment advisers.

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Implementation of Dodd-Frank

June 15, 2011 NASAA raises concerns about H.R. 1070 and H.R. 1082.

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Dodd-Frank Information Center

September 28, 2010 – “This legislation clearly is going to restructure relationships among regulators. We have an opportunity to strengthen these relationships and to engage in productive discussions about how our shared responsibilities can better protect investors.” – David S. Massey

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Regulatory Comment Letters

If the comment or correspondence letter you are looking for is not here, please get in touch with us. 03/24/14 NASAA Comment Letter to SEC Regarding Regulation A Rulemaking 03/21/14 NASAA Comment Letter to FINRA Regarding Comprehensive Automated Risk Data System Regulatory Notice 13-42 02/19/14 NASAA Leadership Letter to SEC Objecting to State Preemption of […]

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Legislative and Policy Letters

    113th Congress (2013-14) 12/04/13 NASAA Letter to House Leadership Regarding H.R. 1105, the Small Business Capital Access and Job Preservation Act 08/02/13 NASAA Letter to Rep. Keith Ellison (D-MN) regarding H.R. 2998, the Investor Choice Act of 2013 06/18/13 NASAA Letter to House Financial Services Committee Chairman and Ranking Member regarding H.R. 1105, […]

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Proposal to Revoke NASAA Health Care Facility Offering Statement of Policy

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA), has authorized release for public comment a proposal to repeal, revoke, or otherwise make inactive, the NASAA Health Care Facility Offerings Statement of Policy. The comment period will remain open for 30 days. Comments on the proposed repeal of the Health Care Facility Offerings […]

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NASAA Regulatory Reform Roundtable

The North American Securities Administrators Association (NASAA) convened a public roundtable discussion in December 2008 to outline changes in the financial services regulatory structure that are necessary to promote Main Street investor protection, which state securities regulators have provided for nearly 100 years. “At this critical time in our nation’s history, it is imperative that […]

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Enhanced Investor Protection After the Financial Crisis

July 12, 2011 – Written testimony of NASAA President David Massey, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, discussing how the Dodd-Frank Act has provided enhanced protection to investors.

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