All: Issues & Advocacy

Mandatory Binding Arbitration: Is it Fair and Voluntary?

September 15, 2009 – NASAA written statement submitted to the House Judiciary Subcommittee on Commercial and Administrative Law regarding mandatory binding arbitration.

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Proposal for Uniform State Franchise Delivery Requirements

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 […]

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New Model Rules Pertaining to Investment Adviser Solicitors

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. […]

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NASAA Applauds Obama Directive Affirming the Value of State Regulatory Authority

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 […]

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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 […]

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The Federal Government's Role in Empowering Americans to Make Informed Financial Decisions

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.

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The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

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.

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Betting on Death in the Life Settlement Market – What's at Stake for Seniors?

April 29, 2009 – Written testimony of Colorado Securities Commissioner, and NASAA President, Fred Joseph, delivered to the Senate Special Committee on Aging, regarding the regulation of life settlements.

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Betting on Death in the Life Settlement Market – What’s at Stake for Seniors?

April 29, 2009 – Written testimony of Colorado Securities Commissioner, and NASAA President, Fred Joseph, delivered to the Senate Special Committee on Aging, regarding the regulation of life settlements.

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NASAA Testimony on Enhancing Investor Protection and the Regulation of Securities Markets

March 26, 2009 – Written testimony of Colorado Securities Commissioner, and NASAA President Fred J. Joseph, delivered before the Senate Committee on Banking, Housing, and Urban Affairs, regarding enhancing investor protection and the regulation of markets.

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