All: Issues & Advocacy

Advising Seniors About Their Money: Who Is Qualified?

September 5, 2007 – Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg, delivered before the Senate Special Committee on Aging, regarding advising seniors on their money.

Issues & Advocacy, Legislative Activity, Testimony Read more

Proposed Repeal of NASAA Guidelines for Registration of Periodic Payment Plans

The NASAA Corporation Finance Policy Project Group (Project Group) requests public comment on the proposed repeal of  NASAA’s Guidelines for Registration of Periodic Payment Plans (Guidelines). The public comment period is from August 21, 2007 to September 21, 2007. Download: Notice of Release for Public Comment Print | PDF | Email

Issues & Advocacy, NASAA Proposals, Regulatory Activity, Request for Comment Read more

Should Small Investors be Exposed to the Risks of Hedge Funds?

July 11, 2007 – Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg delivered before the House Oversight and Government Reform Subcommittee on Domestic Policy regarding the exposure of small investors to hedge funds.

Issues & Advocacy, Legislative Activity, Testimony Read more

Consolidation of NASD and the Regulatory Functions of the NYSE

May 17, 2007 – Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg, delivered before the Senate Banking Subcommittee on Securities, Insurance and Investment, regarding the merger of NASD and New York Stock Exchange Regulation

Issues & Advocacy, Legislative Activity, Testimony Read more

Notice of Release: Internal and public comments sought on a proposal by the NASAA Franchise Project Group for franchise states to accept, as of July 1, 2007, franchise disclosure prepared under the FTC’s new amended Franchise Rule with the addition of a new state cover page

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, the attached proposal for states that register franchise offerings to accept, as of July 1, 2007, franchise disclosure documents prepared under the Federal Trade Commission’s amended Franchise Rule with certain additional requirements, […]

Issues & Advocacy, NASAA Proposals, Regulatory Activity, Request for Comment Read more

Notice of Release: Internal and public comments sought on a proposal by the NASAA Franchise Project Group for franchise states to accept, as of July 1, 2007, franchise disclosure prepared under the FTC's new amended Franchise Rule with the addition of a new state cover page

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, the attached proposal for states that register franchise offerings to accept, as of July 1, 2007, franchise disclosure documents prepared under the Federal Trade Commission’s amended Franchise Rule with certain additional requirements, […]

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 30, 2007 – NASAA written statement to the Senate Homeland Security and Governmental Affairs Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia, regarding financial regulation.

Issues & Advocacy, Legislative Activity, Testimony Read more

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

April 30, 2007 – NASAA written statement to the Senate Homeland Security and Governmental Affairs Subcommittee on Oversight of Government Management, the Federal Workforce, and the District of Columbia, regarding financial regulation.

Issues & Advocacy, Legislative Activity, Testimony Read more

Improving Financial Literacy

September 28, 2006 – NASAA written statement, submitted to the House Financial Services Subcommittee on Financial Institutions and Consumer Credit, regarding Improving financial literacy.

Issues & Advocacy, Legislative Activity, Testimony Read more

NASAA Statement at SEC Seniors Summit

July 17, 2006 – Statement of Wisconsin Securities Commissioner, and NASAA President, Patricia D. Struck, delivered at the SEC Seniors Summit.

Issues & Advocacy, Legislative Activity, Testimony Read more