FacultyFaculty/Author Profile
Joseph P. Borg

Joseph P. Borg

President, North American Securities Administrators Association
Director, Alabama Securities Commission
Montgomery, AL, USA


Joseph Borg has been Director of the Alabama Securities Commission (ASC) since 1994.  Borg was twice past president of the North American Securities Administrators Association (NASAA) and is currently President.  He served as a member on the NASAA Board of Directors, as Chair of the International Committee and as Chair of Enforcement.  He is also a member of the Board of Directors of the National White Collar Crime Center (NW3C) and previously served as a member of the Board of Directors of the Investor Protection Trust (IPT).

Borg has testified before various committees of the U.S. Senate and U.S. House of Representatives including testimony on such areas as Microcap fraud; Criminal elements in the financial markets; Information sharing among financial regulatory agencies; Risks posed to everyday investors from IPOs in private equity and hedge funds; Illegal investment sales’ practices victimizing senior citizens; and GSEs and SIPC Modernization.  He has also served as a member of the SIPC Modernization Task Force and the FINRA Dispute Resolution Task Force.

Borg served as a U.S. delegate to an Intergovernmental Expert Group for the United Nations Commission on International Trade and Law (UNCITRAL).

Borg previously served as in-house corporate counsel to First Alabama Bank (n/k/a Regions Bank, 1979-1984) and has been an adjunct professor of law at Faulkner University Jones School of Law teaching securities law and banking (1982-2002), and has been a Partner in the Montgomery law firm of Capouano, Wampold, Prestwood & Sansone (1984-1994).

He is admitted to practice in Alabama, Florida, New York, U.S. Federal District Courts in Alabama and Florida, the 5th and 11th Circuit Courts of Appeal and the U.S. Supreme Court.

Joseph P. Borg is associated with the following items:
CHB Chapters  CHB Chapters Regulation Crowdfunding: A Small Entity Compliance Guide for Issuers (May 13, 2016) - Marketplace Lending and Crowdfunding 2016 , Monday, September 12, 2016
Intrastate Crowdfunding Legislation (May 23, 2016) - Marketplace Lending and Crowdfunding 2016 , Monday, September 12, 2016
Broker/Dealer: State Enforcement Initiatives, Developments and Priorities - Broker/Dealer Regulation and Enforcement 2016, Thursday, October 20, 2016
Press Release, NASAA, SEC Sign Info-Sharing Agreement for Crowdfunding and Other Offerings (February 17, 2017) - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
Interstate Crowdfunding Legislation, North American Securities Administrators Association (July 7, 2017) - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
Web Segment  Web Segment State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
MP3 Audio  MP3 Audio State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? - State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? , Friday, September 08, 2017
Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance - Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance , Friday, September 08, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance - Update from Washington and State Houses: Developments in Crowdfunding and Alternative Finance , Friday, September 08, 2017
State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? - State Regulation of Crowdfunding and Capital-Raising: Necessary Tool or Unwanted Nuisance? , Friday, September 08, 2017
On-Demand Web Programs  On-Demand Web Programs Marketplace Lending and Crowdfunding 2017, Thursday, September 14, 2017, New York, NY
Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
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