All: Regulatory Activity

Model Rules

In the event that the Model Rule that you are looking for is not here, please let us know. 10/08/13 NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule, Amended Oct. 8, 2013 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 […]

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Regulatory Comment Letters

If the comment or correspondence letter you are looking for is not here, please get in touch with us. 03/24/14 NASAA Comment Letter to SEC Regarding Regulation A Rulemaking 03/21/14 NASAA Comment Letter to FINRA Regarding Comprehensive Automated Risk Data System Regulatory Notice 13-42 02/19/14 NASAA Leadership Letter to SEC Objecting to State Preemption of […]

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Proposal to Revoke NASAA Health Care Facility Offering Statement of Policy

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 […]

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NASAA Regulatory Reform Roundtable

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 […]

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North Carolina Issues Informational Bulletin Regarding Investment Company Notice Filing Fee Change

June 30, 2011 Print | PDF | Email

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Proposed Model Franchise Exemptions

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 […]

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Proposed Model Rule for Exempt Reporting Advisers

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 […]

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Notice of Proposed Revision to the Rules and Regulations Pursuant to the Delaware Securities Act

June 3, 2011 Print | PDF | Email

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New Model Rules Pertaining to Investment Adviser Custody

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 […]

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New Model Rules Pertaining to Investment Adviser Custody and Brochure Requirements

NASAA’s Investment Adviser Regulatory Policy and Review Project Group is soliciting comments from interested persons regarding proposed changes to the NASAA model rules pertaining to investment adviser custody, financial requirements, recordkeeping and brochure delivery. Download: Background Memo and Proposed Model Rules The comment period begins on Thursday, February 17, 2011, and will remain open for 14 […]

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