April 8, 2014–NASAA President Andrea Seidt discusses the SEC’s Regulation A proposal and the states’ new multi-state coordinated review program for Regulation A offerings in her opening remarks at the NASAA 2014 Public Policy Conference.
April 8, 2014–NASAA announces that nearly all U.S. NASAA members have officially signed a Memorandum of Understanding demonstrating their agreement to participate in NASAA’s new Coordinated Review Program for Regulation A Offerings.
NASAA President Andrea Seidt’s Remarks at the 2014 SIFMA Compliance and Legal Society Annual Meeting
April 1, 2014-NASAA President Andrea Seidt: “Our markets function most effectively when industry and regulators work together to protect and serve investors.”
March 25, 2014–NASAA: Proposed Rule Flouts Congressional Intent by Preempting State Authority
NASAA Public Policy Conference to Explore Challenges to Forecasting Markets and Investor Participation
March 20, 2014–Featured Speakers include SEC Commissioner Kara Stein and Sen. Joe Manchin; Panels to Focus on Bitcoins and How to Bring Main Street Investors Back to Wall Street
March 11, 2014–States Call on SEC to Allow Small Businesses to Benefit from the Program by Removing Preemptive Language from Regulation A Proposed Rule
February 20, 2014–NASAA Leadership Letter to SEC Objecting to State Preemption of Reg A+ Offerings
WASHINGTON, D.C. (February 12, 2014) – The North American Securities Administrators Association (NASAA) today congratulated NASAA Deputy General Counsel Rick A. Fleming on his appointment as the Securities and Exchange Commission’s new Investor Advocate. Fleming becomes the first person to lead the SEC’s Office of the Investor Advocate, which was created by the Dodd-Frank Wall […]
December 18, 2013–NASAA: :The Commission’s proposed rule ignores Congress’ recent judgment and defies Congress’ clear intent. As a policy matter, it is not clear why the Commission would remove state oversight in a high-risk area where both federal and state resources should be fully leveraged to provide sufficient, regular review.”
NASAA Statement on SEC Investor Advisory Committee’s Recommendation Regarding SEC Investment Adviser Exam Funding
November 22, 2013–NASAA applauds the IAC’s efforts to keep the examination fix a top priority for the SEC and Congress.