Request for Comment

Topic
Year
October 7, 2020

Request for Comments on Proposed Amendment to NASAA’s IAR Continuing Education Program and Model Rule Under the Uniform Securities Acts of 1956 and 2002

July 2, 2020

Notice of Request for Public Comment on Proposed Model Rule for IA Written Policies and Procedures Under USA of 1956 and 2002

November 2, 2018

Notice of Request for Public Comment Regarding Updates to the SCOR Statement of Policy and the SCOR Form (FORM U-7)

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 […]
September 23, 2018

Request for Public Comment Regarding a Proposed IA Model Rule for Information Security and Privacy Under the Uniform Securities Acts of 1956 and 2002

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

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 […]
June 14, 2018

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: […]
December 18, 2017

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 […]
July 25, 2017

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 […]
December 7, 2016

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 […]
October 4, 2016

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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