Search Results for: investor bill of rights

Enhanced Investor Protection After the Financial Crisis

Written Testimony of David Massey NASAA President and North Carolina Deputy Securities Administrator Before the Senate Committee on Banking, Housing,…

Putting Investors First: Reviewing Proposals to Hold Executives Accountable

Written Testimony of Melanie Senter LubinBoard Member, North American Securities Administrators Associationand Maryland Commissioner of Securitiesto The U.S. House of…

Federal and State Enforcement of Financial Consumer and Investor Protection Laws

Testimony of James B. Ropp Commissioner, Delaware Division of Securities and Chair of the Enforcement Section North American Securities Administrators…

Capital Markets Regulatory Reform: Strengthening Investor Protection, Enhancing Oversight of Private Pools of Capital, and Creating a National Insurance Office

Testimony of Denise Voigt Crawford Texas Securities Commissioner and President North American Securities Administrators Association, Inc. Before the House Financial…

Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation

Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation Testimony of Heath Abshure Arkansas Securities Commissioner and Chairman…

The Role of State Securities Regulators in Protecting Investors

Testimony of Ralph A. Lambiase Director, Division of Securities Connecticut Department of Banking & President North American Securities Administrators Association,…

Should Small Investors be Exposed to the Risks of Hedge Funds?

Testimony of Joseph P. Borg Director, Alabama Securities Commission and President of the North American Securities Administrators Association, Inc. Before…

NASAA Outlines Pro-Investor Legislative Priorities

WASHINGTON, D.C. (January 30, 2008)—The North American Securities Administrators Association (NASAA) today identified 11 key pro-investor legislative priorities it will…

Spurring Job Growth Through Capital Formation While Protecting Investors

Written Testimony of Jack E. Herstein President of the North American Securities Administrators Association, Inc. and Assistant Director of the…

Legislative Agenda for the 117th Congress Principle One

PRINCIPLE 1:Congress must place the interests of investors front-and-center and prioritize measures to protect and empower retail investors.Congress must pursue…