image showcase

NASAA POLICY CENTER 

NASAA actively advocates the interests of state and provincial securities regulators at all levels of government to protect investors and promote capital markets for the benefit of all investors. In addition, the Policy Center houses information regarding the enforcement of securities laws by NASAA members.

LEGISLATIVE

This section includes NASAA’s current legislative priorities, Congressional testimony letters of Congress, testimony and information about state policy matters.

LEGAL BRIEFS

This section includes NASAA amicus briefs and information about the enforcement of securities laws by NASAA members.

REGULATORY

This section includes regulatory comment letters, adopted Statements of Policy and Model Rules and notices of comment requests on proposed NASAA model rules.

ENFORCEMENT STATISTICS

This section includes annual enforcement statistics collected from NASAA members to highlight enforcement of their civil and criminal securities laws.