The mission of the State Regulation of Securities Committee is to monitor and report on common practices and current developments involving all aspects of state and provincial securities laws, rules, and their administration, including the regulation of securities offerings, broker-dealers, investment advisers, issuers, and their representatives. We comment on rules, policy statements, and interpretations proposed by states and the North American Securities Administrators Association ("NASAA").
Committee Facts
- Membership: More than 500 attorneys, paralegals, state regulators, and law students
- Recurring Meetings: Spring and Summer ABA BLS meetings; Fall NASAA meeting
- Newsletter: Blue Sky Bugle electronically published three times each year; periodic enewsletters and special alerts circulated via our main and topical listserves
- Reports: Annual surveys of state and provincial securities regulation and enforcement
Areas of Expertise
- Exempt securities
- Exempt securities transactions
- Broker-dealers and investment advisers
- Enforcement, litigation and arbitration
- NSMIA and “covered securities” (federal preemption)
- Securities registration
- Uniform Securities Act (2002)
- Canadian securities regulation
- Proposed private placement broker
