Testimony
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.
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
Cybercriminals and Fraudsters: How Bad Actors Are Exploiting the Financial System During the COVID-19 Pandemic
Written Testimony of Amanda Senn, Alabama Securities Commission Chief Deputy Director and NASAA Cybersecurity Committee Chair, delivered on behalf of NASAA at a hearing convened by the House Subcommittee on National Security, International Development and Monetary Policy to examine how cybercriminals and fraudsters are exploiting the financial system during the COVID-19 pandemic.
May 26, 2020
Examining the Impacts of the COVID-19 Pandemic on U.S. Capital Markets
Statement of NASAA President Christopher W. Gerold, delivered during a roundtable convened on May 26, 2020 by the House Subcommittee on Investor Protection, Entrepreneurship and Capital Markets to examine the impacts of the COVID-19 pandemic on U.S. capital markets.
September 11, 2019
Examining Private Market Exemptions as a Barrier to IPOs and Retail Investment
Testimony of NASAA Immediate Past President and Vermont Financial Regulation Commissioner Michael S. Pieciak at a September 11, 2019 hearing before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.
April 3, 2019
