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NASSA’s Brief in Support of the State of Oregon’s Petition for Review to the Oregon Supreme Court in opposition of the Oregon Court of Appeals’ holding that Oregon’s anti-fraud law requires proof of reliance.

NASAA files an amicus brief in the United States Supreme Court in the Stoneridge appeal, in support of an investor’s right to sue those who have participated in securities fraud through deceptive conduct, not just through misrepresentations and omissions, under Section 10(b) of the Securities Exchange Act of 1934.

NASAA Calls on the Federal Government to Leverage the State-Federal Partnership that Fosters Innovation and Mitigates Fraud in Our Capital Markets

NASAA files amicus brief in Tellabs, Inc. v. Makor Issues & Rights, Ltd., arguing that plaintiffs in a securities fraud action should not be subjected to an overly burdensome pleading standard for scienter under the Private Securities Litigation Reform Act of 1995.

NASAA Comment Letter to SEC Regarding File No. S7-25-06 Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles; Securities Act Release No. 33-8766; Investment Advisers Act Release No. 2576, 72 FR 400 (Jan. 4, 2007)

NASAA Comment Letter on President Clinton’s Consumer Fraud Initiatives Directives

NASAA files Amicus Brief in California v. American Funds Distributors, Inc., arguing that NSMIA does not preempt California’s enforcement action for fraud in mutual fund offering documents

NASAA Principal Transaction Anti-Fraud Provisions for Investment Advisers Model Rule 102(f)-2

NASAA amicus curiae brief regarding the impact of Jarkesy on Arizona antifraud enforcement and the scope of the non-public offering exemption.

NASAA Letter in Support of the Edith Shorougian Senior Victims of Fraud Compensation Act of 2020 (S.3487)