Testimony
August 2, 2022
Prepared Remarks of Andrea Seidt for the SEC SBCFAC Regarding Secondary Market Liquidity
Prepared Remarks of Andrea Seidt, NASAA Representative and Ohio Securities Commissioner, for the SEC Small Business Capital Formation Advisory Committee Regarding Secondary Market Liquidity for Investors in Regulation A and Regulation Crowdfunding Companies and for Smaller Public Companies, at the August 2, 2022 meeting of the SEC Small Business Capital Formation Advisory Committee
July 28, 2022
Protecting Investors and Savers: Understanding Scams and Risks in Crypto and Securities Markets
Written Testimony of NASAA President and Maryland Securities Commissioner Melanie Senter Lubin delivered to the U.S. Senate Committee on Banking, Housing, and Urban Affairs on July 28, 2022.
April 5, 2022
Promoting Trust in Our Capital Markets
Letter from NASAA President and Maryland Securities Commissioner Melanie Senter Lubin sent on April 5, 2022, and entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs on insider trading.
March 14, 2022
NASAA’s Core Principles for Evaluating Federal Legislation Relating to Franchises
Letter from NASAA President and Maryland Securities Commissioner Melanie Senter Lubin sent on March 14, 2022, and entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Small Business and Entrepreneurship on the franchising industry.
March 8, 2022
NASAA Letter to SBC Leadership Regarding Mandatory Arbitration Agreements in Our Capital Markets
Letter from NASAA President and Maryland Securities Commissioner Melanie Senter Lubin sent on March 8, 2022 and entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs on the use of mandatory arbitration agreements in the sale of financial services and products.
December 2, 2021
The SEC’s Potential Role in Addressing Elder Financial Abuse Issues
Written statement of Kristen Standifer, Licensing and Examinations Supervisor for the Washington State Department of Financial Institutions and Chair of the NASAA Senior Issues and Diminished Capacity Committee, delivered on behalf of NASAA at a December 2, 2021, panel discussion convened by the U.S. Securities and Exchange Commission Investor Advisory Committee to examine the SEC’s Potential Role in Addressing Elder Financial Abuse Issues.
January 21, 2021
Letter to President Biden Regarding Securities Laws and Economic Stimulus Legislation
September 10, 2020
The Need for Financial Aid to America’s States and Territories During the Pandemic
Written Statement of NASAA President and West Virginia Senior Deputy Securities Commissioner Lisa Hopkins submitted for a September 10, 2020 hearing before the U.S. House Committee on Financial Services.
September 3, 2020
Improving Investment Advice for Workers and Retirees
Written Testimony of Andrea Seidt, Ohio Securities Commissioner and chair of NASAA's Regulation Best Interest Implementation Committee, delivered on behalf of NASAA at a hearing convened by the U.S. Department of Labor's Employee Benefits Security Administration.
June 16, 2020
