Model Rules

In the event that the Model Rule that you are looking for is not here, please let us know.

04/15/13 NASAA Performance-Based Compensation Exemption for Investment Advisers, Model Rule 102(f)-3, under the Uniform Securities Act of 1956, Adopted April 15, 2013
04/15/13 NASAA Contents of Investment Advisory Contract Model Rule USA 2002 502(c), Adopted April 15, 2013 (Contains NASAA Performance-Based Compensation Exemption)
04/15/13 Revisions to Model Custody and Recordkeeping Rules under the 1956 and 2002 Uniform Securities Acts to Clarify Requirements Relating to Inadvertent Custody of Client Funds, Effective April 15, 2013
09/09/12 NASAA Model Franchise Exemptions, Adopted September 9, 2012.
12/16/11 NASAA Registration Exemption for Investment Adviser to Private Funds Model Rule, Adopted December 16, 2011
09/11/11 NASAA Investment Adviser Recordkeeping Requirements, Amended September 11, 2011
09/11/11 NASAA Bonding Requirements for Investment Advisers, Amended September 11, 2011
09/11/11 NASAA Minimum Financial Requirements for Investment Advisers, Amended September 11, 2011
09/11/11 NASAA Brochure Rule Requirements for Investment Advisers Model Rule 203(b)-1, Amended September 11, 2011
09/11/11 Investment Adviser Model Rules Under the USA 2002, Amended September 11, 2011 (further amended on April 15, 2013, see above)
09/11/11 NASAA Custody Requirements for Investment Advisers Model Rule Rule 102(e)(1)-1, Amended September 11, 2011
09/17/08 Revised Investment Adviser Model Rule on Exams, Under the 1956 Act, Approved September 17, 2008
04/01/08 NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations
07/01/05 Model Rules for State Coordination with the Multi-Jurisdictional Disclosure System
10/02/04 Model Secondary Market Trading Exemption for Qualifying Canadian Securities
04/18/04 Unethical Business Practices of Investment Advisers
10/01/02 Guidelines Regarding Viatical Investments
09/16/00 NASAA Registration Requirements for Investment Advisers Model Rule 202(a)-1
09/16/00 IARD Implementation Model Rules
09/16/00 NASAA Electronic Filing Requirements for Investment Advisers Model Rule 202(a)-A
09/16/00 NASAA Notice Filing Requirements for Federal Covered Advisers Model Rule 202(b)-1
09/16/00 NASAA Withdrawal from Registration of Investment Advisers and IA Representatives Model Rule 204(e)-1
09/06/00 NASAA Registration Requirements for Investment Adviser Representatives Model Rule 202(a)-2
10/06/98 Sales of Securities at Financial Institutions
05/03/98 Definition of Investment Adviser Representative Model Rule
04/27/97 NASAA Late Fee Payment Remedies Requirements for Investment Advisers Model Rule 401(n)-1
09/03/87 NASAA Examination Requirements for Investment Advisers and Investment Adviser Representatives Model Rule 204(b)(6)-1
09/03/87 NASAA Financial Reporting Requirements for Investment Advisers Model Rule 203(c)-1
09/03/87 NASAA Agency Cross Transaction of Investment Advisers Model Rule 102(f)-1
09/03/87 NASAA Principal Transaction Anti-Fraud Provisions for Investment Advisers Model Rule 102(f)-2
09/03/87 NASAA Performance-Based Compensation Exemption for Investment Advisers Model Rule 102(f)-3 (superseded and replaced by revised rule 102(f)-3, effective April 15, 2013, see above)
09/03/87 NASAA Assignment Exemption for Investment Advisers Model Rule 102(f)-4
05/23/83 Dishonest or Unethical Business Practices of Broker-Dealers and Agents
Model Rules, Regulatory Activity