Public companies, investors, and financial services firms may be subject to state securities laws, sometimes called “Blue Sky Laws.” At the heart of the state regulatory system is the North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators in the United States, Canada, and Mexico.
On this episode of inSecurities, we chat with NASAA’s General Counsel, Vince Martinez, about the role of NASAA, some of its members’ policy positions, and its relationship to the SEC and other securities regulatory agencies.
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Vince Martinez is the General Counsel of the North American Securities Administrators Association (NASAA). NASAA is the oldest international organization devoted to investor protection, and its membership consists of the securities administrators in the 50 states, the District of Columbia, Canada, Mexico, Puerto Rico, and the U.S. Virgin Islands.
Immediately prior to joining NASAA, Mr. Martinez was a partner in the Washington, DC office of K&L Gates LLP, where he worked in the firm's investigations, enforcement and white collar practice group. Before joining K&L Gates, Mr. Martinez worked in the Securities and Exchange Commission's Division of Enforcement for almost twelve years, where he brought numerous antifraud actions against corporations and individuals. He also helped to establish and later became the Chief of the Division of Enforcement's Office of Market Intelligence (OMI). Before serving as the Chief of OMI, Mr. Martinez established the Commodity Futures Trading Commission's Whistleblower Office and served as its first Director. Mr. Martinez began his career in private practice, working both as a corporate transactional attorney and a litigator in New York and Washington, DC.