All: Issues & Advocacy

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 […]

Print Friendly, PDF & Email
2009 Headlines, Issues & Advocacy, Newsroom, Preemption Read more

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 […]

Print Friendly, PDF & Email
Issues & Advocacy, NASAA Proposals, Regulatory Activity, Request for Comment Read more

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.

Print Friendly, PDF & Email
Issues & Advocacy, Legislative Activity, Testimony Read more

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.

Print Friendly, PDF & Email
Issues & Advocacy, Legislative Activity, Testimony Read more

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.

Print Friendly, PDF & Email
Issues & Advocacy, Legislative Activity, Testimony Read more

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.

Print Friendly, PDF & Email
Issues & Advocacy, Legislative Activity, Testimony Read more

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.

Print Friendly, PDF & Email
Issues & Advocacy, Legislative Activity, Testimony Read more

Federal and State Enforcement of Financial Consumer and Investor Protection Laws

March 20, 2009 – Written testimony of Delaware Securities Commissioner James B. Ropp, delivered to the House Committee on Financial Services, regarding ways to enhance our ability to pursue financial fraud and prosecute the perpetrators of those crimes.

Print Friendly, PDF & Email
Issues & Advocacy, Legislative Activity, Testimony Read more

NASAA's Proposed Adoption of a Statement of Policy Regarding Multi-State Review of Requests for Interpretive Opinions and No-Action Letters

The NASAA Coordinated Interpretations Project Group requests comment from the public on the adoption of a new Statement of Policy Regarding Multi-State Review of Requests for Interpretative Opinions and No-Action Letters. The comment period begins February 20, 2009 and will remain open for 30 days.  Accordingly, all comments should be submitted on or before March […]

Print Friendly, PDF & Email
Issues & Advocacy, NASAA Proposals, Regulatory Activity, Request for Comment Read more

NASAA’s Proposed Adoption of a Statement of Policy Regarding Multi-State Review of Requests for Interpretive Opinions and No-Action Letters

The NASAA Coordinated Interpretations Project Group requests comment from the public on the adoption of a new Statement of Policy Regarding Multi-State Review of Requests for Interpretative Opinions and No-Action Letters. The comment period begins February 20, 2009 and will remain open for 30 days.  Accordingly, all comments should be submitted on or before March […]

Print Friendly, PDF & Email
Issues & Advocacy, NASAA Proposals, Regulatory Activity, Request for Comment Read more