Search Results for: investor bill of rights

Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

WRITTEN STATEMENT OF WILLIAM BEATTY PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. AND WASHINGTON SECURITIES DIVISION DIRECTOR BEFORE THE SUBCOMMITTEE…

Risky Business in the Operating Subsidiary: How the OCC Dropped the Ball

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

NASAA Testimony on HR 10 – The Financial Services Act of 1999

Testimony of Thomas E. Geyer Commissioner of Ohio Division of Securities Chair, Securities Activities of Banks Project Group Before the…

NASAA Testimony on HR 10 – The Financial Services Act of 1998

Testimony of Denise Voigt Crawford Texas Securities Commissioner President, North American Securities Administrators Association, Inc. Before the Senate Banking, Housing…

NASAA Strongly Supports the Investor Choice Act of 2013

Ellison Bill Would Greatly Benefit Capital Formation and Job Creation by Fostering Investor Trust, Ensures that Investors Have Access to…

NASAA Files Amicus Brief Supporting FINRA’s Efforts to Reverse Ruling that Allows Schwab to Deny Customer Rights

NASAA: Schwab Violated FINRA Rules by Expanding Arbitration Clause to Ban Customers From Participating in Class Actions WASHINGTON (May 8, 2013)…

Voting Rights

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 the Department of Labor Regarding RIN 1210-AC03, Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights