In the event that the Model Rule that you are looking for is not here, please let us know. 04/15/13 NASAA Performance-Based Compensation Exemption for Investment Advisers, Model Rule 102(f)-3, under the Uniform Securities Act of 1956, Adopted April 15, 2013 04/15/13 NASAA Contents of Investment Advisory Contract Model Rule USA 2002 502(c), Adopted April [...]

If the comment or correspondence letter you are looking for is not here, please get in touch with us. 05/03/13 NASAA Letter to SEC on Arbitration and Class Action Waivers 04/10/13 NASAA Comments on SEC Regulatory Initiatives under the Jumpstart Our Business Startups Act: Title IV – Small Company Capital Formation 03/05/13 NASAA comment letter [...]

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA), has authorized release for public comment a proposal to repeal, revoke, or otherwise make inactive, the NASAA Health Care Facility Offerings Statement of Policy. The comment period will remain open for 30 days. Comments on the proposed repeal of the Health Care Facility Offerings [...]

The North American Securities Administrators Association (NASAA) convened a public roundtable discussion in December 2008 to outline changes in the financial services regulatory structure that are necessary to promote Main Street investor protection, which state securities regulators have provided for nearly 100 years. “At this critical time in our nation’s history, it is imperative that [...]

June 30, 2011

Notice of Request for Public and Internal Comment: Proposed Model Franchise Exemptions Download: Proposed Model Franchise Exemptions The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both internal and public comment, of proposed Model Exemptions relating to state franchise registration and disclosure laws. The proposal includes model [...]

On December 10, 2010, NASAA published for comment a proposed model rule that would exempt investment advisers to certain types of private funds from state registration. NASAA received five comments in response to the proposed model rule. The drafters of the proposed rule reviewed the comments, and in response, revised several provisions within the proposed rule. NASAA [...]

June 3, 2011

NASAA’s Investment Adviser Section and Investment Adviser Regulatory Policy and Review Project Group are rereleasing for comment from interested persons proposed changes to the NASAA model rule pertaining to investment adviser custody. Download: Background Memo and Proposed Model Rule The comment period will remain open for 30 days. Accordingly, all comments should be submitted on or [...]