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A Legislative Proposal to Create Hope and Opportunity for Investors, Consumers, and Entrepreneurs

WRITTEN STATEMENT OF MIKE ROTHMAN PRESIDENT, NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION AND MINNESOTA COMMISSIONER OF COMMERCE BEFORE THE U.S. HOUSE…

NASAA Comment Letter to SEC Regarding SEC Study on Enhancing Investment Adviser Examinations under Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

NASAA Comments on Release No. 34-62718; File No. SR-FINRA-2010-039

Joint Letter with the Certified Financial Planner Board of Standards, the Consumer Federation of America, Investment Adviser Association, the Financial Planning Association, and the National Association of Personal Financial Advisors to the US Senate Opposes the Collins Amendment (Fiduciary Duty) to S. 3217, “The Restoring American Financial Stability Act of 2010.”

Joint Letter with the Consumer Federation of America to the US Senate in opposition to the Harkin/Johanns/Leahy Amendment (Equity Indexed Annuities) to S. 3217, “The Restoring American Financial Stability Act of 2010.”

Wall Street Analyst Conflicts of Interest Global Settlement

Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Committee on Banking, Housing and Urban Affairs…

The Federal Government’s Role in Empowering Americans to Make Informed Financial Decisions

Testimony of Lynne Egan Montana Deputy Securities Commissioner Member, NASAA Investor Education Section Before the Subcommittee on Oversight of Government…

NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors

Washington, D.C., Aug. 13, 2010 – The Securities and Exchange Commission, Financial Industry Regulatory Authority…

NASAA Urges Support for Murray Amendment to Include State Securities Regulator on Financial Stability Oversight Council

WASHINGTON (May 4, 2010) – North American Securities Administrators Association (NASAA) President and Texas Securities Commissioner Denise Voigt Crawford sent…

Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight

Testimony of Steven D. Irwin Pennsylvania Securities Commissioner and Chairman, Federal Legislation Committee North American Securities Administrators Association, Inc. Before…