Federal/State Cooperation

• Memorandum of Understanding Between U.S. Securities and Exchange Commission and North American Securities Administrators Association, Inc. on Coordinated Form D Filing (April 5, 2010)
• Press Release: SEC, NASAA to Co-Sponsor Conference on Federal-State Securities Regulation (April 5, 2004)
• Press Release: SEC Staff and NASAA to Explore Means to Improve Cooperation (September 14, 2003)
• Final Report of 2003 Conference on Federal-State Securities Regulation (June 2003) | PDF version
• Final Report of 2002 Conference on Federal-State Securities Regulation (November 2002) | PDF version
• Final Report of 2001 Conference on Federal-State Securities Regulation (September 2001)
• Final Report of 2000 Conference on Federal-State Securities Regulation (September 2000)
• Final Report of 1998 NASAA-SEC meeting (October 1998)
• Final Report of the 1997 Conference on Federal-State Securities Regulation (August 1997)
• Securities and Exchange Commission Announces Agreement to Promote Coordinated Industry Examinations (November 30, 1995)
• Memorandum of Understanding Among the Securities and Exchange Commission, American Stock Exchange, Chicago Board Options Exchange, National Association of Securities Dealers, New York Stock Exchange, and the North American Securities Administrators Association, Concerning Consultation and Coordination With Respect to the Regulatory Examination of Broker-Dealers (November 28, 1995)

Modified: 04/30/2010