All: NASAA Proposals

NASAA’s Proposed Adoption of a Statement of Policy Regarding Multi-State Review of Requests for Interpretive Opinions and No-Action Letters

The NASAA Coordinated Interpretations Project Group requests comment from the public on the adoption of a new Statement of Policy Regarding Multi-State Review of Requests for Interpretative Opinions and No-Action Letters. The comment period begins February 20, 2009 and will remain open for 30 days.  Accordingly, all comments should be submitted on or before March […]

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NASAA's Proposed Adoption of a Statement of Policy Regarding Multi-State Review of Requests for Interpretive Opinions and No-Action Letters

The NASAA Coordinated Interpretations Project Group requests comment from the public on the adoption of a new Statement of Policy Regarding Multi-State Review of Requests for Interpretative Opinions and No-Action Letters. The comment period begins February 20, 2009 and will remain open for 30 days.  Accordingly, all comments should be submitted on or before March […]

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NASAA’s Proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines

NASAA’s Franchise and Business Opportunities Project Group has released for internal and public comment a proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines (“2008 Franchise Commentary”). The 2008 Franchise Commentary contains practical guidance about complying with new Franchise Registration and Disclosure Guidelines and addresses questions of interpretation that have arisen about those Guidelines. The […]

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NASAA's Proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines

NASAA’s Franchise and Business Opportunities Project Group has released for internal and public comment a proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines (“2008 Franchise Commentary”). The 2008 Franchise Commentary contains practical guidance about complying with new Franchise Registration and Disclosure Guidelines and addresses questions of interpretation that have arisen about those Guidelines. The […]

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NASAA's Proposed Amendments to its Model Rules on Investment Advisers and Investment Adviser Representatives

NASAA’s Investment Adviser Regulatory Policy and Review Project Group (“Project Group”) is soliciting comments from the public on a proposed set of investment adviser model rules written to reflect the organization and content of the 2002 Uniform Securities Act (“USA 2002”).  The Project Group is also seeking public comment on proposed revisions to the existing […]

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NASAA’s Proposed Amendments to its Model Rules on Investment Advisers and Investment Adviser Representatives

NASAA’s Investment Adviser Regulatory Policy and Review Project Group (“Project Group”) is soliciting comments from the public on a proposed set of investment adviser model rules written to reflect the organization and content of the 2002 Uniform Securities Act (“USA 2002”).  The Project Group is also seeking public comment on proposed revisions to the existing […]

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2008 Franchise Registration and Disclosure Guidelines

2008 FRANCHISE REGISTRATION AND DISCLOSURE GUIDELINES February 26, 2008 (AMENDED AND RESTATED UFOC GUIDELINES) The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, the attached proposal for updated franchise registration and disclosure guidelines.  The proposal would allow states that register franchise […]

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Proposed NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations

Comments are being solicited from the public on the following proposed model rule concerning the use of senior-specific certifications and professional designations. The comment period will remain open for 30 days, until December 9, 2007. Comments: AARP American Council of Life Insurers The American College American National Standards Institute CFP Board College of Financial Planning Financial Planners […]

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Proposed Amendment to the NASAA CR-Equity Statements of Policy

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA), has authorized release for public comment a proposal to update the following 11 NASAA CR-Equity statements of policy: Statement of Policy Regarding Corporate Securities Definitions (1997/1999) Statement of Policy Regarding Preferred Stock (1997) Statement of Policy Regarding Loans and Other Material Transactions […]

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Proposed Repeal of NASAA Guidelines for Registration of Periodic Payment Plans

The NASAA Corporation Finance Policy Project Group (Project Group) requests public comment on the proposed repeal of  NASAA’s Guidelines for Registration of Periodic Payment Plans (Guidelines). The public comment period is from August 21, 2007 to September 21, 2007. Download: Notice of Release for Public Comment Print | PDF | Email

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