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State Securities Regulators Signal Aggressive Action To Protect and Expand Jurisdiction and Influence in Balancing Investor Protection and Capital Formation (PDF)

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PDF :Electronic, 4 Pages
ISBN: 9781422429983
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NASAA signals a newly aggressive effort to preserve and expand investor protection authority in the face of continuing pushes for preemption and marginalization of state securities regulation in the United States.

 

ROBERT N. RAPP is a partner in the Capital Markets Regulatory, Enforcement and Litigation practice at Calfee, Halter & Griswold LLP, Cleveland, Ohio. His contributions to legal scholarship include numerous published articles addressing securities and financial market regulatory topics, many of which have been cited by state and federal courts, including the United States Supreme Court. He has served on the adjunct faculty of the Case Western Reserve University School of Law, and as Distinguished Practitioner in Residence at the Cornell Law School. Mr. Rapp is a former member of the NASD Legal Advisory Board, and is currently a public member of the Market Operations Review Committee of the Nasdaq Stock Market. He has twice served as Public Chair of the Enforcement Advisory Committee of the Ohio Department of Commerce, Division of Securities. A graduate of Case Western Reserve University (B.A., 1969) and the Case Western Reserve University School of Law (J.D., 1972), Mr. Rapp also holds a Masters of Business Administration from the Cleveland State University School of Business (1989). Mr Rapp authors Matthew Bender's Blue Sky Regulation and is a contributing author to Federal Securities Act of 1933.

 

 

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