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 serving his third term as President. He served as a member on the NASAA Board of Directors, as Chair of the International Committee, Chair of Enforcement, Ombudsman and in several other capacities. 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). He has also served as a member of the SIPC Modernization Task Force and the FINRA Dispute Resolution Task Force.

Borg recently (June 2018) testified before the U.S. House Financial Services Committee, Capital Markets Subcommittee hearing entitled “Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement.” He has previously 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 SIPA and SIPC Modernization.

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 Interstate Crowdfunding Legislation, North American Securities Administrators Association (July 7, 2017) - Marketplace Lending and Crowdfunding 2017, Friday, September 08, 2017
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
Letter to William T. Pound, National Conference of State Legislatures (July 31, 2017) - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding , Friday, October 05, 2018
Written Testimony of Joseph P. Borg Before the U.S. House Committee on Financial Services Subcommittee on Capital Markets, Securities and Investment “Ensuring Effectiveness, Fairness, and Transparency in Securities Law Enforcement” (June 13, 2018) - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding , Friday, October 05, 2018
FINRA Investor Alerts, Updated: Crowdfunding and the JOBS Act: What Investors Should Know (May 17, 2017) - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding , Friday, October 05, 2018
Letter to Hon. Michael Crapo, Re: The Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017 (H.R. 477, as amended) (March 9, 2018) - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding , Friday, October 05, 2018
Letter to Hon. Mike Crapo and Hon. Sherrod Brown, Re: Legislation Considered by the Committee on June 26, 2018 and June 28, 2018 (June 28, 2018) - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding , Friday, October 05, 2018
NASAA 2017 Enforcement Report - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding , Friday, October 05, 2018
Letter to Hon. Jeb Hensarling and Hon. Maxine Water, Re: June 7, 2018—Full Committee Markup (H.R. 5877, the “Main Street Growth Act of 2018”) - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding , Friday, October 05, 2018
Web Segment  Web Segment The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance - Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding, Tuesday, October 09, 2018
MP3 Audio  MP3 Audio The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance - The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance, Tuesday, October 09, 2018
Transcripts  Transcripts The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance - The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance, Tuesday, October 09, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance - The JOBS Act Six Years Out: Washington and State House Developments in Crowdfunding and Alternative Finance, Tuesday, October 09, 2018
On-Demand Web Programs  On-Demand Web Programs Alternative Finance Summit 2018: Marketplace Lending, Cryptocurrency and Crowdfunding, Friday, October 12, 2018, New York, NY
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