Testimony
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
Putting Investors First: Reviewing Proposals to Hold Executives Accountable
Testimony of NASAA Board member and Maryland Securities Commissioner Melanie Senter Lubin at an April 3, 2019 hearing before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.
March 14, 2019
“Putting Investors First? Examining the SEC’s Best Interest Rule”
Written Statement of Michael S. Pieciak NASAA President and Commissioner of the Vermont Department of Financial Regulation to the U.S. House of Representatives Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.
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
