NASAA Requests for Public Comments

The Corporation Finance Section of the North American Securities Administrators Association (NASAA has posted notices requesting public comments on a proposed new multistate Form U-1 and a revised Form U-2. The Section also seeks public comments on proposed revisions to the following NASAA Corporation Finance Statements of Policy: Preferred Stock; Promoter’s Equity Investment; Specificity In Use of Proceeds; and Unequal Voting Rights.

Comments on both proposals are due by May 1, 2016. For details, see the Notices of Request for Public Comment below:

Note: After the comment period has closed, NASAA will post to its website the comments it receives as submitted by the authors. Parties should therefore only submit information that they wish to make publicly available. Further, the following notice will appear on NASAA’s website where comments are posted: NASAA, its agents, and employees accept no responsibility for the content of the comments posted on this Web page. The views, expressions, and opinions expressed in the comments are solely those of the author(s).


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NASAA Proposals, Regulatory Activity, Request for Comment