Testimony
June 2, 2004
The Role of State Securities Regulators in Protecting Investors
June 2, 2004 - Written testimony of Connecticut Securities Commissioner, and NASAA President, Ralph A. Lambiase, delivered to the Senate Committee on Banking, Housing, and Urban Affairs United States Senate, regarding the role of state securities regulators in protecting investors.
June 2, 2004
The Role of State Securities Regulators in Protecting Investors, Enforcement Overview
June 2, 2004 - Written testimony of Alabama Securities Commissioner Joseph P. Borg, delivered to the Senate Committee on Banking, Housing, and Urban Affairs, regarding the role of state securities regulators in protecting investors.
March 23, 2004
Protecting Senior Citizens Against Internet Investment Fraud
March 23, 2004 - Testimony of Tanya Solov Illinois Securities Director and NASAA Broker-Dealer Section Chair Before the Special Committee on Aging United States Senate
June 5, 2003
The Securities Fraud Deterrence and Investor Restitution Act of 2003 (H.R. 2179)
June 5, 2003 - Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, Committee on Financial Services, United States House of Representatives
May 7, 2003
Wall Street Analyst Conflicts of Interest Global Settlement
May 7, 2003 - Testimony of Christine A. Bruenn NASAA President and Maine Securities Administrator Before the Committee on Banking, Housing and Urban Affairs United States Senate
March 6, 2003
H.R. 957, The Broker Accountability through Enhanced Transparency Act of 2003
March 6, 2003 - Written Statement of the North American Securities Administrators Association To the Capital Markets, Insurance and Government Sponsored Enterprises Subcommittee, House Committee on Financial Services
June 25, 2002
The FTC’s Franchise Rule: Twenty-Three Years After Its Promulgation
June 25, 2002 - Prepared Statement of Dale E. Cantone Deputy Securities Commissioner and Chief of the Franchise and Business Opportunities Unit of the Office of the Maryland Attorney General, Securities Division Before the Subcommittee on Commerce, Trade, and Consumer Protection of the Committee on Energy and Commerce, United States House of Representatives
June 19, 2002
Penalties for White Collar Offenses: Are We Really Getting Tough on Crime?
June 19, 2002 - Testimony of Bradley W. Skolnik Indiana Securities Commissioner Chairman, Enforcement Section Before the Crime and Drugs Subcommittee Senate Judiciary Committee
May 23, 2002
One Broker Gone Bad: Punishing the Criminal, Making Victims Whole
May 23, 2002 - Testimony of Bradley W. Skolnik Indiana Securities Commissioner Chairman, Enforcement Section Before the House Financial Services Oversight and Investigations Subcommittee, U.S. House of Representatives
February 6, 2002
