Issues & Advocacy

Topic
Year
June 13, 2018

“Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement”

Testimony of Joseph P. Borg, President, North American Securities Administrators Association and Director, Alabama Securities Commission, at a June 13, 2018 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment
April 28, 2017

A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

Written Testimony of Maryland Securities Commissioner Melanie Senter Lubin submitted for an April 28, 2017 hearing before the U.S. House Committee on Financial Services.
April 26, 2017

A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for an April 26, 2017 hearing before the U.S. House Committee on Financial Services.
March 22, 2017

The JOBS Act at Five: Examining Its Impact and Ensuring the Competitiveness of the U.S. Capital Markets

Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for a March 22, 2017 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities and Investment.
April 14, 2016

The JOBS Act at Four: Examining Its Impact and Proposals to Further Enhance Capital Formation

Written Testimony of NASAA Past-President William Beatty delivered to the House Financial Services Committee’s Subcommittee on Capital Markets and Government Sponsored Enterprises during an April 14, 2016 hearing.
April 29, 2015

Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

Written Statement of NASAA President William Beatty provided to the House Financial Services Committee's Subcommittee on Capital Markets and Government Sponsored Enterprises during an April 29, 2015 hearing.
March 10, 2015

Venture Exchanges and Small-Cap Companies

Written Statement of NASAA President William Beatty provided to the Senate Banking, Housing and Urban Affairs Committee's Subcommittee on Securities, Insurance and Investment during a hearing on Venture Exchanges and Small-Cap Companies, March 10, 2015
May 1, 2014

Legislative Proposals to Enhance Capital Formation for Small and Emerging Growth Companies, Part II

Written Testimony of William Beatty, Washington Securities Division Director and President-Elect of the North American Securities Administrators Association, Inc., delivered to the House Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises, May 1, 2014
December 17, 2013

The Federal Arbitration Act and Access to Justice: Will Recent Supreme Court Decisions Undermine the Rights of Consumers, Workers, and Small Businesses?

December 17, 2013--Written statement of Mike Rothman, Commissioner of the Minnesota Department of Commerce on behalf of the North American Securities Administrators Assocation (NASAA) before the Senate Judiciary Committee issued as part of a hearing on the Federal Arbitration Act.
October 30, 2013

The JOBS Act at a Year and a Half: Assessing Progress and Unmet Opportunities

October 30, 2013--Written testimony of NASAA Deputy General Counsel Rick Fleming, delivered to the Senate Banking Subcommittee on Securities, Insurance and Investment providing an overview of the current status of NASAA’s work in designing a new multi-state review process for offerings conducted under Title IV of the JOBS Act, including a one-stop, filing process for “Regulation A+” and to offer NASAA's views on Title II of the JOBS Act, which lifted the long-standing ban on general solicitation, Title III’s crowdfunding provisions and NASAA’s views of the SEC’s proposed rules and other JOBS Act-related issues.