Legislative Activity

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 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.
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
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.
September 21, 2012

The JOBS Act: The Importance of Prompt Implementation for Entrepreneurs, Capital Formation, and Job Creation

September 13, 2012 - Written statement of NASAA President Heath Abshure, provided to the House Financial Services Subcommittee on Capital Markets and the House Oversight Subcommittee on TARP, Financial Services, and Bailouts, outlining NASAA’s views on the current status of rulemakings under JOBS Act Titles II (General Solicitation and Advertising in Rules 506/144A), III (Crowdfunding) and IV (Regulation A+) of the Act issued as part of a hearing on JOBS Act implementation.
June 6, 2012

H.R. 4624, the Investment Adviser Oversight Act of 2012

June 6, 2012 - Written testimony of Texas Securities Commission John Morgan, delivered before the House Financial Services Committee, outlining NASAA’s opposition to H.R. 4624, the Investment Advisor Oversight Act of 2012.
December 22, 2011

Letter of Support for S. 1907, the PCAOB Enforcement Transparency Act of 2011

December 21, 2011 The Honorable Tim Johnson Chairman Senate Committee on Banking, Housing, & Urban Affairs 534 Dirksen Senate Office Building Washington, DC 20510  The Honorable Richard ShelbyRanking MemberSenate Committee on Banking,Housing, & Urban Affairs534 Dirksen Senate Office BuildingWashington, DC 20510 Dear Chairman Johnson and Ranking Member Shelby: On behalf of the North American Securities Administrators Association (NASAA) I amwriting […]
September 21, 2011

Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation

September 21, 2011 - Written testimony of Arkansas Securities Commissioner Heath Abshure, delivered to the House Financial Services Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, outlining the unintended consequences investors could face from legislative efforts to loosen regulations on how new and small businesses raise money.
September 13, 2011

Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight

September 13, 2011 - Written testimony of Pennsylvania Securities Commissioner Steven Irwin, delivered to the House Financial Services Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, expressing NASAA’s opposition the creation of an SRO to oversee state regulated investment advisers.