Advocating for Greater Federal and State Securities Regulatory Cooperation and Collaboration (Speech by SEC Commissioner Luis A. Aguilar)

NASAA/SEC 19(d) Conference
Washington, D.C.

In discussing partnership opportunities for the SEC and NASAA, Commissionar Aguilar discussed a number of issues where he sees federal and state regulatory cooperation and collaboration as critical to the success of the underlying policy.

Cross References: Dodd-Frank Sections 403 and 911; Advisers Act Section 203(b)(3); Exchange Act Sections 39(b)(1)(C), 39(b)(1)(B), and 39(b)(1)(D)(i); JOBS Act Section 302(c).

View speech in full here (links externally to SEC website).