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Testimony

Topic
Year
March 11, 2024

Written Statement of Leslie Van Buskirk on the “Draft Recommendation of the SEC Investor Advisory Committee’s Disclosure Subcommittee Regarding Digital Engagement Practices”

Prepared statement of NASAA President-Elect Leslie Van Buskirk, Administrator of the Division of Securities at the Wisconsin Department of Financial Institutions, on the Draft Recommendation of the U.S. Securities Exchange Commission (SEC) Investor Advisory Committee's Disclosure Subcommittee Regarding Digital Engagement Practices (DEPs) at the March 7, 2024 SEC Investor Advisory Committee's quarterly meeting.
September 21, 2023

2023 U.S. Securities and Exchange Commission Investor Advisory Committee Panel Discussion Regarding Exempt Offerings under Regulation D, Rule 506

Written Statement of Amanda Senn, Director, Alabama Securities Commission, and Co-Chair of the Enforcement Section of the North American Securities Administrators Association, at the September 21, 2023 U.S. Securities and Exchange Commission Investor Advisory Committee “Panel Discussion Regarding Exempt Offerings under Regulation D, Rule 506”
June 13, 2023

Preserve the Existing Securities Regulatory Framework as Congress Considers Digital Assets Market Structure Legislation

Letter from NASAA Executive Director Joseph Brady entered into the record on behalf of NASAA for a hearing before the U.S. House Committee on Financial Services on digital assets.
April 17, 2023

A Roadmap for Growth: Reforms to Encourage Capital Formation and Investment Opportunities for All Americans

Written testimony of Melanie Senter Lubin, Commissioner, Maryland Securities Division Office of the Maryland Attorney General and 2022-2023 NASAA Past-President, before the House Financial Services Committee Subcommittee on Capital Markets Regarding A Roadmap for Growth: Reforms to Encourage Capital Formation and Investment Opportunities for All Americans on April 19, 2023.
March 2, 2023

Prepared Remarks of Faith Anderson for the SEC Investor Advisory Committee Regarding the Growth of Private Markets

Written Statement of Faith Anderson, Chief of Registration and Regulatory Affairs in the Securities Division of the Washington Department of Financial Institutions and Chair of the Small Business/Limited Offerings Project Group of the North American Securities Administrators Association (NASAA), at the March 2, 2023 U.S. Securities and Exchange Commission Investor Advisory Committee “Panel Discussion Examining the Growth of Private Markets Relative to the Public Markets: Drivers and Implications”
March 2, 2023

Prepared Remarks of Stephen Brey for the SEC Investor Advisory Committee Regarding the Registered Investment Adviser Regulatory Framework

Written Statement of Stephen Brey, Staff Attorney for the State of Michigan Corporations, Securities, and Commercial Licensing Bureau and Co-Chair of the NASAA Investment Adviser Section Regulatory Policy and Review Project Group, at the March 2, 2023 U.S. Securities and Exchange Commission Investor Advisory Committee “Panel Discussion Regarding the Registered Investment Adviser Regulatory Framework”
February 7, 2023

NASAA Report and Recommendations on Reinvigorating Our Capital Markets

December 13, 2022

Opportunities to Strengthen Diversity in Our Capital Markets

Letter from NASAA Executive Director Joseph Brady entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities, Insurance, and Investment on supporting diverse entrepreneurs and investors.
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.




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