Testimony
March 26, 2009
NASAA Testimony on Enhancing Investor Protection and the Regulation of Securities Markets
March 26, 2009 - Written testimony of Colorado Securities Commissioner, and NASAA President Fred J. Joseph, delivered before the Senate Committee on Banking, Housing, and Urban Affairs, regarding enhancing investor protection and the regulation of markets.
March 20, 2009
Federal and State Enforcement of Financial Consumer and Investor Protection Laws
March 20, 2009 - Written testimony of Delaware Securities Commissioner James B. Ropp, delivered to the House Committee on Financial Services, regarding ways to enhance our ability to pursue financial fraud and prosecute the perpetrators of those crimes.
September 18, 2008
Auction Rate Securities Market: A Review of Problems and Potential Resolutions
Written Statement of the North American Securities Administrators Association submitted to the U.S. House Committee on Financial Services on “Auction Rate Securities Market: A Review of Problems and Potential Resolutions”
December 13, 2007
Shopping Smart and Avoiding Scams: Financial Literacy During the Holiday Season
December 13, 2007 - Written testimony of North Dakota Securities Commissioner, and NASAA President Karen Tyler, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, regarding protecting investors during the holiday season.
December 12, 2007
S. 1782, the Arbitration Fairness Act of 2007
December 12, 2007 - Written testimony of Illinois Securities Commissioner Tanya Solov, delivered to the Senate Judiciary Subcommittee on the Constitution, regarding S.1782, the Arbitration Fairness Act of 2007
September 12, 2007
Regulatory Preemption: Are Federal Agencies Usurping Congressional and State Authority?
September 12, 2007 - NASAA written statement submitted to the Senate Judiciary Committee regarding regulatory preemption.
September 5, 2007
Advising Seniors About Their Money: Who Is Qualified?
September 5, 2007 - Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg, delivered before the Senate Special Committee on Aging, regarding advising seniors on their money.
July 11, 2007
Should Small Investors be Exposed to the Risks of Hedge Funds?
July 11, 2007 - Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg delivered before the House Oversight and Government Reform Subcommittee on Domestic Policy regarding the exposure of small investors to hedge funds.
May 17, 2007
Consolidation of NASD and the Regulatory Functions of the NYSE
May 17, 2007 - Written testimony of Alabama Securities Commissioner, and NASAA President, Joseph P. Borg, delivered before the Senate Banking Subcommittee on Securities, Insurance and Investment, regarding the merger of NASD and New York Stock Exchange Regulation
April 30, 2007
