All: Legal Briefs

Legal Briefs

NASAA plays an important role in representing the membership’s position, including as amicus curiae, in significant legal proceedings that may have a widespread impact upon securities regulators and the rights of investors. An index of all NASAA legal briefs is below. 04/14/14 NASAA brief filed with the Colorado Court of Appeals in Rome v. HEI […]

Enforcement Activity, Legal Briefs Read more