Issues & Advocacy
June 9, 2009
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
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.
April 29, 2009
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.
March 26, 2009
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.
March 20, 2009
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.
February 20, 2009
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 […]
February 20, 2009
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 […]
September 23, 2008
NASAA's Proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines
NASAA’s Franchise and Business Opportunities Project Group has released for internal and public comment a proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines (“2008 Franchise Commentary”). The 2008 Franchise Commentary contains practical guidance about complying with new Franchise Registration and Disclosure Guidelines and addresses questions of interpretation that have arisen about those Guidelines. The […]
September 23, 2008
NASAA’s Proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines
NASAA’s Franchise and Business Opportunities Project Group has released for internal and public comment a proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines (“2008 Franchise Commentary”). The 2008 Franchise Commentary contains practical guidance about complying with new Franchise Registration and Disclosure Guidelines and addresses questions of interpretation that have arisen about those Guidelines. The […]
August 21, 2008
