Testimony
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
May 21, 2018
Joint Letter to SEC Chair Requesting Delay in Comment Deadline for Best Interest Proposal
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
A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs
Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for an April 26, 2017 hearing before the U.S. House Committee on Financial Services.
March 22, 2017
The JOBS Act at Five: Examining Its Impact and Ensuring the Competitiveness of the U.S. Capital Markets
Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for a March 22, 2017 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities and Investment.
April 14, 2016
