Legal Briefs
NASAA plays an important role in representing the membership’s position, including as amicus curiae, in significant legal proceedings that may have a widespread impact upon securities regulators and the rights of investors.
An index of all NASAA legal briefs is below.
June 27, 2024
NASAA amicus curiae brief arguing Missouri state securities regulations are not preempted by NSMIA or ERISA.
December 20, 2023
NASAA amicus brief regarding the scope of uniform jurisdictional provisions and the lack of a compensation requirement to be a “broker-dealer.”
October 10, 2023