Federal Resources

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”

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.

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”

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.

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.

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”

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”

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.

Prepared Remarks of Andrea Seidt, NASAA Representative and Ohio Securities Commissioner, for the SEC Small Business Capital Formation Advisory Committee Regarding Secondary Market Liquidity for Investors in Regulation A and Regulation Crowdfunding Companies and for Smaller Public Companies, at the August 2, 2022 meeting of the SEC Small Business Capital Formation Advisory Committee

Written Testimony of NASAA President and Maryland Securities Commissioner Melanie Senter Lubin delivered to the U.S. Senate Committee on Banking, Housing, and Urban Affairs on July 28, 2022.

Letter from NASAA President and Maryland Securities Commissioner Melanie Senter Lubin sent on April 5, 2022, and entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs on insider trading.

Letter from NASAA President and Maryland Securities Commissioner Melanie Senter Lubin sent on March 14, 2022, and entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Small Business and Entrepreneurship on the franchising industry.

Letter from NASAA President and Maryland Securities Commissioner Melanie Senter Lubin sent on March 8, 2022 and entered into the record on behalf of NASAA for a hearing before the U.S. Senate Committee on Banking, Housing, and Urban Affairs on the use of mandatory arbitration agreements in the sale of financial services and products.

Written statement of Kristen Standifer, Licensing and Examinations Supervisor for the Washington State Department of Financial Institutions and Chair of the NASAA Senior Issues and Diminished Capacity Committee, delivered on behalf of NASAA at a December 2, 2021, panel discussion convened by the U.S. Securities and Exchange Commission Investor Advisory Committee to examine the SEC’s Potential Role in Addressing Elder Financial Abuse Issues.

Written Statement of NASAA President and West Virginia Senior Deputy Securities Commissioner Lisa Hopkins submitted for a September 10, 2020 hearing before the U.S. House Committee on Financial Services.

Written Testimony of Andrea Seidt, Ohio Securities Commissioner and chair of NASAA's Regulation Best Interest Implementation Committee, delivered on behalf of NASAA at a hearing convened by the U.S. Department of Labor's Employee Benefits Security Administration.

Written Testimony of Amanda Senn, Alabama Securities Commission Chief Deputy Director and NASAA Cybersecurity Committee Chair, delivered on behalf of NASAA at a hearing convened by the House Subcommittee on National Security, International Development and Monetary Policy to examine how cybercriminals and fraudsters are exploiting the financial system during the COVID-19 pandemic.

Statement of NASAA President Christopher W. Gerold, delivered during a roundtable convened on May 26, 2020 by the House Subcommittee on Investor Protection, Entrepreneurship and Capital Markets to examine the impacts of the COVID-19 pandemic on U.S. capital markets.

Testimony of NASAA Immediate Past President and Vermont Financial Regulation Commissioner Michael S. Pieciak at a September 11, 2019 hearing before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.

Testimony of NASAA Board member and Maryland Securities Commissioner Melanie Senter Lubin at an April 3, 2019 hearing before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.

Written Statement of Michael S. Pieciak NASAA President and Commissioner of the Vermont Department of Financial Regulation to the U.S. House of Representatives Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.

Testimony of Joseph P. Borg, President, North American Securities Administrators Association and Director, Alabama Securities Commission, at a June 13, 2018 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment

Written Testimony of Maryland Securities Commissioner Melanie Senter Lubin submitted for an April 28, 2017 hearing before the U.S. House Committee on Financial Services.

Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for an April 26, 2017 hearing before the U.S. House Committee on Financial Services.

Written Statement of NASAA President and Minnesota Commissioner of Commerce Mike Rothman submitted for a March 22, 2017 hearing before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities and Investment.