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.
All: Issues & Advocacy
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.
June 15, 2011 NASAA raises concerns about H.R. 1070 and H.R. 1082.
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
If the comment or correspondence letter you are looking for is not here, please get in touch with us. 12/13/13 NASAA Comment Letter to SEC Regarding Regulation A+ 11/05/13 NASAA Comment Letter Regarding SEC Release No. 34-706012, File No. SR-FINRA-2013-025, Concerning FINRA’s Proposed Changes to its Supervision Rules. 09/27/13 NASAA Comment Letter to the SEC […]
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, […]
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 […]
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 […]
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.
Notice of Request for Public and Internal Comment: Proposed Model Franchise Exemptions Download: Proposed Model Franchise Exemptions The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, of proposed Model Exemptions relating to state franchise registration and disclosure laws. The proposal includes model […]