April 21, 2010 – Written testimony of Pennsylvania Securities Commission Steven D. Irwin, delivered to the House Financial Services Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, urging Congress to take steps to encourage investor confidence.
All: Issues & Advocacy
January 14, 2010 – Written testimony of NASAA President Denise Voigt Crawford delivered to the United States Financial Crisis Inquiry Commission.
Capital Markets Regulatory Reform: Strengthening Investor Protection, Enhancing Oversight of Private Pools of Capital, and Creating a National Insurance Office
October 6, 2009 – Written testimony of NASAA President Denise Voigt Crawford, delivered to the House Financial Services Committee, regarding improvements to the financial regulatory system.
September 17, 2009 – Written testimony of Illinois Securities Commissioner Tanya Solov, delivered to the Senate Judiciary Subcommittee on Crime and Drugs, discussing liability for aiding and abetting securities violations.
September 15, 2009 – NASAA written statement submitted to the House Judiciary Subcommittee on Commercial and Administrative Law regarding mandatory binding arbitration.
NASAA’s Franchise and Business Opportunity Project Group is soliciting both internal and public comments on a proposal for model state law provisions regarding the delivery of franchise disclosure documents. The Proposal follows new federal franchise delivery requirements adopted under an Amended Federal Trade Commission Franchise Rule in 2007. In the interests of uniformity, the Proposal recommends […]
NASAA’s Investment Adviser Regulatory Policy and Review Project Group is soliciting comments from the public on a proposed model rule regarding solicitors for investment advisers. The Proposed Rule keeps intact the increased investor protection standards presently required by the states, while clarifying the conditions under which investment advisers, investment adviser representatives, and solicitors must operate. […]
WASHINGTON, D.C. (June 10, 2009) – The North American Securities Administrators Association today commended the Obama administration for affirming the vital role that state regulators play in protecting American investors and consumers. “We sincerely appreciate your recognition that states have frequently been more aggressive than the national government in protecting the public’s interest,” NASAA President […]
Amendments to Forms U4 and U5 and Proposed Guidance for Filings by Investment Adviser Representatives
The NASAA CRD/IARD Steering Committee and the CRD/IARD Forms and Process Committee have worked with FINRA, regulators, and representatives of the financial services industry in developing amendments to the Form U4 and Form U5. The proposed changes have been published by both FINRA and the SEC for public comment. On May 13, 2009, the SEC […]
April 29, 2009 – NASAA written statement submitted to the Senate Homeland Security and Government Affairs Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia regarding the role of the federal government in empowering Americans to make informed financial decisions.