All: NASAA Proposals

Notice of Request for Public Comments Regarding a Proposed Model Rule to Designate Nationally Recognized Securities Manuals for Purposes of the Manual Exemption and a Proposed Model Rule to Exempt Secondary Trading in Securities Issued by Regulation A-Tier 2 Issuers

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 […]

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Request for Public Comments Regarding Proposed New State Cover Sheets to Franchise Disclosure Documents

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: […]

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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 […]

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Request for Public Comment Regarding a Proposed Model Rule Amendment to the Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers Model Rule to Include Investment Adviser Account Access Under the Uniform Securities Acts of 1956 and 2002

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 […]

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Request for Public Comment Regarding a Proposed Model Statute, a Proposed Model Rule, and a Proposed Solicitation of Interest Form to Permit Testing The Waters in Regulation A Tier 1 Offerings

December 7, 2016 NASAA is requesting public comment regarding a proposed model statute and a proposed model rule that would permit testing the waters in Tier 1 offerings conducted under federal Regulation A. In addition, public comment is requested on the accompanying Solicitation of Interest form that would be filed with state securities regulators prior […]

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Notice of Request for Public Comments on a Proposed Statement of Policy Regarding the Use of Electronic Offering Documents and Electronic Signatures

The Corporation Finance Section of the North American Securities Administrators Association (NASAA) is requesting public comment on a proposed Statement of Policy Regarding Use of Electronic Offering Documents and Electronic Signatures. This proposal is a second request for public comment following the feedback received from the Electronic Initiatives proposal released for public comment in May […]

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Notice of Request for Comments Regarding a Proposed Franchise Commentary on Financial Performance Representations

The North American Securities Administrators Association, Inc. (NASAA) is requesting public comments on a proposed Financial Performance Representations Commentary (FPR Commentary). This proposal is a second request for public comment following the feedback received from the FPR Commentary proposal released for public comment in October of 2015. Comments are due on or before October 13, 2016 […]

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Notice of Request for Public Comment Regarding a Proposed Amendment to the NASAA Statement of Policy Regarding Real Estate Investment Trusts

The North American Securities Administrators Association (NASAA) is requesting public comment on proposed amendments to the NASAA Statement of Policy Regarding Real Estate Investment Trusts (REIT Guidelines). Comments are due on or before September 12, 2016. Download > Notice of Request for Public Comment The proposal would add a uniform concentration limit of 10 percent of […]

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Notice of Request for Public Comments Regarding a Proposed NASAA Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings

May 16, 2016 The North American Securities Administrators Association is requesting public comments on a proposed model rule and uniform notice filing form. The proposed model rule requires a notice filing for issuers conducting a federal crowdfunding offering in those states where either the issuer has its principal place of business or where 50% or […]

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Notice of Request for Public Comments Regarding a Proposed Statement of Policy on the Use of Electronic Offering Documents and Electronic Signatures

May 2, 2016 The Corporation Finance Section of the North American Securities Administrators Association (NASAA) is requesting public comments on a proposed Statement of Policy Regarding Use of Electronic Offering Documents and Electronic Signatures. Comments are due by June 1, 2016. Download > Notice of Request for Public Comment Note: After the comment period has closed, […]

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