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Testimony

Topic
Year
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.
April 29, 2015

Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

Written Statement of NASAA President William Beatty provided to the House Financial Services Committee's Subcommittee on Capital Markets and Government Sponsored Enterprises during an April 29, 2015 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
December 17, 2013

The Federal Arbitration Act and Access to Justice: Will Recent Supreme Court Decisions Undermine the Rights of Consumers, Workers, and Small Businesses?

December 17, 2013--Written statement of Mike Rothman, Commissioner of the Minnesota Department of Commerce on behalf of the North American Securities Administrators Assocation (NASAA) before the Senate Judiciary Committee issued as part of a hearing on the Federal Arbitration Act.
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.
October 23, 2013

Legislation to Further Reduce Impediments to Capital Formation

October 23, 2013 – Written testimony of NASAA Past President and Arkansas Securities Commissioner A. Heath Abshure Arkansas, delivered to the House Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises, providing NASAA’s views on various capital formation proposals informally referred to “JOBS Act 2.0”.
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 1, 2011

Spurring Job Growth Through Capital Formation While Protecting Investors

December 1, 2011 - Written testimony of NASAA President Jack Herstein, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, outlining NASAA’s position that the states are best positioned to oversee small business capital formation, including crowdfunded offerings.