NASAA and the SEC: Presenting a United Front to Protect Investors

The Harvard Law School Forum on Corporate Governance and Financial Regulation 2014-04-20

Summary:

Editor's Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Aguilar’s remarks at the North American Securities Administrators Association's Annual NASAA/SEC 19(d) Conference; the full text, including footnotes, is available here. The views expressed in the post are those of Commissioner Aguilar and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff.

I have been NASAA’s liaison since I was asked by NASAA to take on that role early in my tenure at the SEC, and it is truly a pleasure to continue our dialogue with my fifth appearance here at the 19(d) conference. This conference, as required by Section 19(d) of the Securities Act, is held jointly by the North American Securities Administrators Association (“NASAA”) and the U.S. Securities and Exchange Commission (“SEC” or “Commission”).

The annual “19(d) conference” is a great opportunity for representatives of the Commission and NASAA to share ideas and best practices on how best to carry out our shared mission of protecting investors. Cooperation between state and federal regulators is critical to investor protection and to maintaining the integrity of our financial markets, and that has never been more true than it is today.

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Link:

http://blogs.law.harvard.edu/corpgov/2014/04/20/nasaa-and-the-sec-presenting-a-united-front-to-protect-investors/

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practitioner publications regulators materials securities litigation & enforcement securities regulation speeches & testimony capital formation investor protection jobs act luis aguilar nasaa registration exemptions regulation a sec securities enforcement small firms solicitation state law

Authors:

Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission,

Date tagged:

04/20/2014, 12:50

Date published:

04/20/2014, 09:00