Request for Public Comments Regarding Proposed Revisions to NASAA Corporation Finance Statements of Policy

December 18, 2017

The Corporation Finance Section of the North American Securities Administrators Association, Inc. (NASAA) is seeking public comments on revisions to the following NASAA Corporation Finance Statements of Policy:

  • Statement of Policy Regarding Corporate Securities Definitions
  • Statement of Policy Regarding Loans and Other Material Transactions
  • Statement of Policy Regarding Unsound Financial Condition
  • Statement of Policy Regarding Underwriting Expenses, Underwriter’s Warrants, Selling Expenses and Selling Security Holders

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Public Comment Period
Comments on the proposals are due by January 31, 2018. To facilitate consideration of comments, please send comments to Dennis Britson (dennis.britson@iid.iowa.gov), Chair of the Corporation Finance Policy Project Group; Bill Beatty (bill.beatty@dfi.wa.gov), Chair of the Corporation Finance Section Committee; and Mark Stewart (nasaacomments@nasaa.org), Counsel at the NASAA Corporate Office. We encourage, but do not require, comments to be submitted by e-mail. Hard-copy comments may be submitted at the address below.

NASAA Legal Department
Mark Stewart, Counsel
NASAA
750 First Street, NE, Suite 1140
Washington, DC  20002

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 webpage. 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