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Issues & Answers

Welcome to NASAA's Issues & Answers area. This section of the website houses a collection of NASAA resources relating to legislative, regulatory and legal activities, including: testimony, comment letters, Congressional correspondence, statements of policy, mode rules and legal briefs.

NASAA actively advocates the interests of state and provincial securities regulators at all levels of government to ensure their voice is reflected through effective legislation and regulation. NASAA members also have compiled an impressive record in bringing enforcement cases, including criminal prosecutions.

Special Features

NASAA Pro-Investor Legislative Agenda for the 110th Congress (Second Session Update)

PDF Version

NASAA Preemption Resource Center
NASAA Rule Proposals