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Legal Briefs

NASAA plays an important role in representing the membership’s position, including as amicus curiae, in significant legal proceedings that may have a widespread impact upon securities regulators and the rights of investors.

An index of all NASAA legal briefs is below.

Topic
Year
July 23, 2020

NASAA Amicus Brief in Support of the Colorado Securities Commissioner’s Petition for Writ of Certiorari to the Colorado Supreme Court in Tung v. HEI Resources

March 31, 2020

NASAA amicus brief in support of New Jersey Bureau of Securities’ enforcement action against Credit Suisse and related entities.

January 23, 2020

NASAA amicus brief in support of the Securities and Exchange Commission in Liu v. SEC

May 31, 2019

NASAA amicus brief in support of the Colorado Securities Commissioner’s enforcement action against HEI Resources.

March 28, 2019

NASAA amicus brief with the U.S. Supreme Court in Emulex v. Varjabedian regarding the scope of liability under Section 14(e) of the Securities Exchange Act of 1934.

November 13, 2018

NASAA and Colorado Securities Commissioner joint amici brief to the Colorado Supreme Court regarding clawback of fictitious profits in Ponzi scheme recoveries.

October 12, 2018

NASAA amicus brief to the U.S. Supreme Court in support of the Securities and Exchange Commission’s enforcement action against Francis Lorenzo in Francis V. Lorenzo v. Securities and Exchange Commission.

August 23, 2018

NASAA amicus brief to the Washington Supreme Court in Federal Home Loan Bank of Seattle, v. Credit Suisse Securities (USA) LLC et al.

October 25, 2017

NASAA amicus brief to the Illinois Supreme Court regarding the appropriate standard of care to apply to a dually-registered investment adviser and insurance agent.

October 16, 2017

Joint amici brief of NASAA and the North Carolina Secretary of State’s office regarding tenancy-in-common securities and the scope of territorial jurisdiction under state securities laws.