Legislative Agenda

NASAA’s 2013 legislative agenda provides the 113th Congress with a roadmap to promote investor confidence by striking the most reasonable balance between promoting capital formation and protecting investors. The agenda is built on a foundation of five core principles:

1. Promote Sustained Investor Confidence by Ensuring Market Transparency, Enhancing Investor Education, and Imposing Strong Penalties

2. Policies Intended to Spur Capital Formation Must Balance the Need to Maintain Investor Protection

3. Support Strong and Complete Implementation of Investor Protections in the Dodd-Frank Act by the Conclusion of the 113th Congress

4. Regulation is an Inherently Public Function that Should be Performed by Government Regulators, not Outsourced to an Industry Self-Regulatory Organization

5. State Authority Should Not Be Preempted, and Should Instead Be Expanded

Download Legislative Agenda (pdf) | Executive Summary