Model Rules & Acts

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

Model Acts

01/22/16 NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation
NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation
Legislative Text and Updated Commentary for the 2017 Legislative Session

Model Rules

09/11/16 Model Rule for Federal Crowdfunding Offerings
05/15/16 Model Notice Filing Rule for Regulation A-Tier 2 Offerings
09/29/15 Model Rule Exempting Certain Merger & Acquisition Brokers (“M&A Brokers”) From Registration
04/13/15 NASAA Model Rule on Business Continuity and Succession Planning and IA BCP Rule and Guidance
09/16/14 NASAA Electronic Filing Depositry (EFD) Implementation Model Rule for the Electronic Filing of Form D
10/08/13 NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule, Amended Oct. 8, 2013
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 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 | (Revisions)
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 (Amended October 8, 2013)
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
09/21/83 Uniform Limited Offering Exemption
05/23/83 Dishonest or Unethical Business Practices of Broker-Dealers and Agents
Model Rules, Regulatory Activity