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January 12 Webinar to Highlight NASAA’s Legislative Priorities

WASHINGTON, D.C. – (January 6, 2023) – The North American Securities Administrators Association (NASAA) today released its federal policy agenda for the 118th Congress, advocating for policy solutions that protect investors of all ages and backgrounds, promote responsible capital formation, and support inclusion and innovation in U.S. capital markets. NASAA will provide an overview of the agenda in a webinar on Thursday, January 12, 2023, at 1:30 p.m. ET.

“Our legislative priorities reflect NASAA members’ long history of collaborating with national policymakers on efforts to strengthen our capital markets and protect investors,” said NASAA President and Iowa Deputy Insurance Commissioner Andrew Hartnett. “We look forward to working with the 118th Congress and the Biden Administration on policies that strengthen our complementary system of state and federal securities regulation for the benefit of main street investors and businesses.”

NASAA’s Federal Legislation Committee spearheaded NASAA’s efforts to prepare this agenda. Claire McHenry, NASAA President-Elect and Deputy Director of the Nebraska Department of Banking and Finance Bureau of Securities, serves as chair of the committee.

In the agenda, NASAA sets forth the following core principles for pro-investor policymaking:

  • Strengthen, not weaken, the government’s ability to prevent harm to investors
  • Rebuild trust in the regulated capital markets by enhancing fair treatment and transparency
  • Preserve and protect the existing securities regulatory framework for new products and practices
  • Continue to encourage coordination and collaboration between state and federal regulators
  • Oppose legislative or regulatory changes that would further restrict the role of state securities regulators and the U.S. Securities and Exchange Commission in capital formation

In addition, the agenda sets forth specific priority requests for Congressional action. By way of example, NASAA is calling on Congress to empower state and federal securities regulators to obtain better data on and for our capital markets. Closing existing data gaps that exist for the private and public markets will support better policy outcomes for businesses, investors, and taxpayers. A key component of this effort to drive better decisions will be the work by Congress to preserve and enhance the authority and roles of state and federal regulators in promoting transparent markets.

“State securities regulators are on the frontlines of making our securities markets safer, more efficient, and more inclusive. We welcome opportunities to engage and work with Congress and others in continuing our longstanding efforts to advance each of these important goals,” said McHenry.

The complete agenda is available here on NASAA’s website.

Register to attend the webinar on January 12 at 1:30 to 2:30 p.m. ET.


About NASAA:

Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of the securities regulators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, the 13 provincial and territorial securities regulators in Canada, and the securities regulator in México. For more information, visit

For More Information:

Karen Grajales | Communications & Investor Outreach Manager

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