Testimony
December 12, 2024
Prepared Remarks of Stephen Brey for the SEC Investor Advisory Committee Panel on Mandatory Arbitration
Written Statement of Stephen Brey, Staff Attorney for the State of Michigan Corporations, Securities, and Commercial Licensing Bureau, Vice Chair of the NASAA Investment Adviser Section Committee, and Co-Chair of the NASAA Investment Adviser Section Regulatory Policy and Review Project Group, at the December 10, 2024, U.S. Securities and Exchange Commission Investor Advisory Committee Panel “Examining the Use of Mandatory Arbitration Clauses by Registered Investment Advisers”
March 11, 2024
Written Statement of Leslie Van Buskirk on the “Draft Recommendation of the SEC Investor Advisory Committee’s Disclosure Subcommittee Regarding Digital Engagement Practices”
Prepared statement of NASAA President-Elect Leslie Van Buskirk, Administrator of the Division of Securities at the Wisconsin Department of Financial Institutions, on the Draft Recommendation of the U.S. Securities Exchange Commission (SEC) Investor Advisory Committee's Disclosure Subcommittee Regarding Digital Engagement Practices (DEPs) at the March 7, 2024 SEC Investor Advisory Committee's quarterly meeting.
September 21, 2023
2023 U.S. Securities and Exchange Commission Investor Advisory Committee Panel Discussion Regarding Exempt Offerings under Regulation D, Rule 506
Written Statement of Amanda Senn, Director, Alabama Securities Commission, and Co-Chair of the Enforcement Section of the North American Securities Administrators Association, at the September 21, 2023 U.S. Securities and Exchange Commission Investor Advisory Committee “Panel Discussion Regarding Exempt Offerings under Regulation D, Rule 506”
June 13, 2023
Preserve the Existing Securities Regulatory Framework as Congress Considers Digital Assets Market Structure Legislation
Letter from NASAA Executive Director Joseph Brady entered into the record on behalf of NASAA for a hearing before the U.S. House Committee on Financial Services on digital assets.
April 17, 2023
A Roadmap for Growth: Reforms to Encourage Capital Formation and Investment Opportunities for All Americans
Written testimony of Melanie Senter Lubin, Commissioner, Maryland Securities Division Office of the Maryland Attorney General and 2022-2023 NASAA Past-President, before the House Financial Services Committee Subcommittee on Capital Markets Regarding A Roadmap for Growth: Reforms to Encourage Capital Formation and Investment Opportunities for All Americans on April 19, 2023.
March 2, 2023
Prepared Remarks of Faith Anderson for the SEC Investor Advisory Committee Regarding the Growth of Private Markets
Written Statement of Faith Anderson, Chief of Registration and Regulatory Affairs in the Securities Division of the Washington Department of Financial Institutions and Chair of the Small Business/Limited Offerings Project Group of the North American Securities Administrators Association (NASAA), at the March 2, 2023 U.S. Securities and Exchange Commission Investor Advisory Committee “Panel Discussion Examining the Growth of Private Markets Relative to the Public Markets: Drivers and Implications”
March 2, 2023
Prepared Remarks of Stephen Brey for the SEC Investor Advisory Committee Regarding the Registered Investment Adviser Regulatory Framework
Written Statement of Stephen Brey, Staff Attorney for the State of Michigan Corporations, Securities, and Commercial Licensing Bureau and Co-Chair of the NASAA Investment Adviser Section Regulatory Policy and Review Project Group, at the March 2, 2023 U.S. Securities and Exchange Commission Investor Advisory Committee “Panel Discussion Regarding the Registered Investment Adviser Regulatory Framework”
December 13, 2022
Opportunities to Strengthen Diversity in Our Capital Markets
Letter from NASAA Executive Director Joseph Brady entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities, Insurance, and Investment on supporting diverse entrepreneurs and investors.
August 2, 2022
