Legal Briefs

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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.

October 21, 2004

NASAA Amicus Brief, in the United States Court of Appeals for the Second Circuit, in Support of the Connecticut Banking Commissioner`s Right Under State Law to Regulate Operating Subsidiaries of National Banks

April 28, 2004

NASAA’s Amicus Brief in Support of the Maryland Securities Divisions in the Case of Lubin v. Agora, Inc.

April 15, 2004

NASAA Amicus Brief in In re Simon, Defending the Constitutionality of the Sarbanes-Oxley Exceptions to Discharge for Debts Arising from Violations of the State and Federal Securities Laws

April 15, 2004

NASAA`s Amicus Brief in Support of Delaware`s Appeal to the Third Circuit in Ropp v. 1717 Capital Management Co., Arguing that the Federal Arbitration Act Does Not Preempt State Authority to Seek Restitution in Enforcement Actions

October 14, 2003

NASAA`s Amicus Brief in Support of the Oklahoma Department of Securities in the Accelerated Benefits Corp. Case

June 26, 2003

NASAA`s Amicus Brief in Support of the SEC in the ETS Payphones Case

May 23, 2003

NASAA Amicus Brief in the U.S. Court of Appeals for the 10th Circuit in the case of Nuveen v. Morgan Keegan, regarding the scope of the Oklahoma Securities Act

April 4, 2003

NASAA’s Amicus Brief in Support of the Texas Supreme Court Granting Review of an Appellate Court Decision in the Case of Millan v. Dean Witter Reynolds, Inc.

March 17, 2003

NASAA`s Amicus Brief in Support of the SEC`s Petition for a Writ of Certiorari in the ETS Payphones Case

February 10, 2003

NASAA Amicus Curiae motion and brief filed in the Virginia Supreme Court in support of a Petition for Rehearing, Tanner vs. State Corporation Commission