All: Issues & Advocacy

Proposed NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations

Comments are being solicited from the public on the following proposed model rule concerning the use of senior-specific certifications and professional designations. The comment period will remain open for 30 days, until December 9, 2007. Comments: AARP American Council of Life Insurers The American College American National Standards Institute CFP Board College of Financial Planning Financial Planners […]

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Proposed Amendment to the NASAA CR-Equity Statements of Policy

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA), has authorized release for public comment a proposal to update the following 11 NASAA CR-Equity statements of policy: Statement of Policy Regarding Corporate Securities Definitions (1997/1999) Statement of Policy Regarding Preferred Stock (1997) Statement of Policy Regarding Loans and Other Material Transactions […]

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Regulatory Preemption: Are Federal Agencies Usurping Congressional and State Authority?

September 12, 2007 – NASAA written statement submitted to the Senate Judiciary Committee regarding regulatory preemption.

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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.

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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

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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.

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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

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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, […]

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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, […]

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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.

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