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 […]

The proposed amendment to Chapter 45 by adding Section 30 (21 VAC 5-45-30) provides for a notice filing for securities issuers that are using federal Regulation A for offerings up to $50 million in a 12-month period. This amendment will allow Virginia to monitor these offerings. The proposed notice filing exemption follows a uniform exemption developed by the […]

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 […]

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 […]

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 […]

The Nebraska Department of Banking and Finance has issued a notice of rulemaking. The Department is proposing the revision of multiple rules contained in Title 48 of the Nebraska Administrative Code. A public hearing on the proposals will be held on August 10, 2016, at 9:30 A.M., CDT at the offices of the Department, 1526 […]

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 […]

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, […]

The Corporation Finance Section of the North American Securities Administrators Association (NASAA has posted notices requesting public comments on a proposed new multistate Form U-1 and a revised Form U-2. The Section also seeks public comments on proposed revisions to the following NASAA Corporation Finance Statements of Policy: Preferred Stock; Promoter’s Equity Investment; Specificity In Use of Proceeds; and Unequal […]

The Vermont Department of Financial Regulation, Securities Divisions is seeking public comment on Securities Rule No. S-2016-01. This rule establishes a comprehensive set of regulations to govern the sale of securities in the State of Vermont. Chapter 1 establishes authority and definitions; Chapter 2 lists all materials incorporated by reference; Chapter 3 provides for the registration of […]