All: Issues & Advocacy

Notice of Request for Public Comment: Proposed Model Franchise Exemptions

NASAA’s Franchise and Business Opportunity Project Group (the “Franchise Project Group” or “Project Group”) is rereleasing for comment from interested persons proposed changes to NASAA’s Model Franchise Exemptions (the “Model Exemptions”).  In response to a previous solicitation for comment, NASAA received a total of six (6) public comments regarding various provisions in the Model Exemptions.  […]

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Letter of Support for S. 1907, the PCAOB Enforcement Transparency Act of 2011

December 21, 2011 The Honorable Tim Johnson Chairman Senate Committee on Banking, Housing, & Urban Affairs 534 Dirksen Senate Office Building Washington, DC 20510  The Honorable Richard ShelbyRanking MemberSenate Committee on Banking,Housing, & Urban Affairs534 Dirksen Senate Office BuildingWashington, DC 20510 Dear Chairman Johnson and Ranking Member Shelby: On behalf of the North American Securities Administrators Association (NASAA) I amwriting […]

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Spurring Job Growth Through Capital Formation While Protecting Investors

December 1, 2011 – Written testimony of NASAA President Jack Herstein, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, outlining NASAA’s position that the states are best positioned to oversee small business capital formation, including crowdfunded offerings.

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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.

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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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