The North American Securities Administrators Association, Inc. (NASAA) is requesting public comments regarding proposed updates to the SCOR Statement of Policy and the SCOR Form (Form U-7). DOWNLOAD: Notice of Request for Public Comment The SCOR Statement of Policy was last updated in 1996 and the SCOR Form was last updated in 1999. Since that […]
The Washington Securities Division has adopted a rule to implement a $10 fee increase for initial and renewal applications for registration as an investment adviser, broker-dealer, investment adviser representative, and securities salesperson, in addition to the initial and renewal notice filing fees for federal covered advisers, to defray the costs of administering the Securities Act […]
September 23, 2018 Download: Notice of Request for Public Comment The North American Securities Administrators Association, Inc. (NASAA) is requesting public comment on a proposed investment adviser model rule to address information security and privacy, a proposed amendment to the investment adviser NASAA model Recordkeeping Requirements rule, and a proposed amendment to the NASAA model […]
July 19, 2018 The North American Securities Administrators Association, Inc. (NASAA) is requesting public comments regarding two proposed model rules that would facilitate secondary trading in securities of issuers about which there is certain publicly available information about the issuer. The first proposed model rule would designate certain sources as nationally recognized securities manuals or […]
The Securities Division of the Washington Department of Financial Institutions has proposed to adjust the filing fees required for initial and renewal applications for registration as an investment adviser, broker-dealer, investment adviser representative, and securities salesperson, in addition to the initial and renewal and notice filing fees for federal covered advisers, upward by $10.00 to […]
June 14, 2018 The Corporation Finance Section of the North American Securities Administrators Association (NASAA) is seeking public comments on a proposal to revise the instructions in the NASAA Franchise Registration and Disclosure Guidelines for filing the state cover page to Franchise Disclosure Documents. Comments on the proposal are due by July 13, 2018. Download: […]
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 […]
July 25, 2017 The North American Securities Administrators Association, Inc. (NASAA) is requesting public comment on a proposed model rule amendment to the NASAA model rule on Unethical Business Practices of Investment Advisers and Investment Adviser Representatives and Federal Covered Advisers to address investment advisers accessing client accounts with the client’s own unique identifying information […]
Download: NASAA Financial Performance Representation Commentary The membership of the North American Securities Administrators Association (NASAA) on May 8, 2017 voted to adopt a Financial Performance Representation Commentary for franchises. The commentary supplements NASAA’s Commentary on the 2008 Franchise Registration and Disclosure Guidelines adopted on April 27, 2009. This NASAA Commentary addresses a number of questions […]
The membership of the North American Securities Administrators Association on May 8, 2017 voted to adopt a Statement of Policy regarding the Use of Electronic Offering Documents and Electronic Signatures. A copy of the adopted Statement of Policy is available here. Background As technology continues to progress and permeate through more aspects of the securities industry, […]
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