| 11/01/18 |
Notice of Request for Public Comment Regarding Updates to the SCOR Statement of Policy and the SCOR Form (FORM U-7) |
| 09/23/18 |
Notice of Request for Public Comment Regarding a Proposed IA Model Rule for Information Security and Privacy Under the Uniform Securities Acts of 1956 and 2002 |
| 07/19/18 |
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 |
| 06/12/18 |
Notice of Request for Public Comment: Proposed New State Cover Sheets to Franchise Disclosure Documents |
| 12/18/17 |
Notice of Request for Public Comments Regarding Proposed Revisions to NASAA Corporation Finance Statements of Policy |
| 07/25/17 |
Notice of 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 |
| 12/07/16 |
Notice of 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 |
| 10/3/16 |
Notice of Request for Public Comments on a Proposed Statement of Policy Regarding the Use of Electronic Offering Documents and Electronic Signatures |
| 09/14/16 |
Notice of Request for Comments Regarding a Proposed Franchise Commentary on Financial Performance Representations |
| 07/27/16 |
Notice of Request for Public Comment Regarding a Proposed Amendment to the NASAA Statement of Policy Regarding Real Estate Investment Trusts |
| 05/16/16 |
Notice of Request for Public Comments Regarding a Proposed NASAA Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings |
| 05/02/16 |
Notice of Request for Public Comments Regarding a Proposed Statement of Policy on the Use of Electronic Offering Documents and Electronic Signatures |
| 04/01/16 |
Notice of Request for Public Comments Regarding Proposed Revisions to NASAA Corporation Finance Statements of Policy |
| 04/01/16 |
Notice of Request for Public Comments Regarding a Proposed New Multistate Form U-1 and A Revised Form U-2 |
| 01/27/16 |
Notice of Request for Public Comment Regarding a Proposed NASAA Model Rule and Uniform Notice Filing Form for Regulation A – Tier 2 Offerings |
| 10/01/15 |
Notice of Request for Comment: Proposed Franchise Commentary on Financial Performance Representations |
| 09/29/15 |
Notice of Request for Comment: Proposed Model Act to Protect Vulnerable Adults from Financial Exploitation |
| 04/16/15 |
Notice of Request for Additional Public Comment: Proposed NASAA Model Rule Exempting Certain Merger and Acquisition Brokers from State Registration |
| 01/15/15 |
Notice of Request for Public Comment: Proposed NASAA Model Rule Exempting Certain Merger and Acquisition Brokers from State Registration |
| 08/01/14 |
Notice of Request for Public Comment: Proposed IA Model Rule and Guidance for Business Continuity and Succession Planning Under the Uniform Securities Acts of 1956 and 2002 |
| 06/30/14 |
Notice of Request for Comment: Proposed Model Rule for the Electronic Filing of Form D and Other Securities Registration/Notice Filing Documents |
| 06/16/14 |
Notice of Request for Public Comment: Proposed Changes to Franchise Multi-Unit Commentary |
| 04/15/14 |
Notice of Request for Public Comment: Proposed Changes to Franchise Multi-Unit Commentary |
| 10/30/13 |
Notice of Request for Public Comment: Proposed Coordinated Review Program for Section 3(b)(2) Offerings |
| 10/15/13 |
Notice of Request for Public and Internal Comment: Proposed Franchise Multi-Unit Commentary |
| 08/16/13 |
Notice of Request for Public Comments on Proposed Changes to NASAA Registration Exemption for Investment Advisors to Private Funds Model Rule Under the Uniform Securities Acts of 1956 and 2002 |
| 07/16/13 |
Notice of Request for Public and Internal Comment on Proposed Changes to the Judgment/Lien Disclosure Reporting Page on Form U4 |
| 07/16/13 |
Notice of Request for Public and Internal Comment on Proposed Changes to the Uniform Branch Registration Form (Form BR) |
| 01/11/13 |
Notice of Request for Public and Internal Comment: Proposed Changes to Model Custody and Recordkeeping Rules Under the Uniform Securities Acts of 1956 and 2002 To Clarify Requirements Relating to Inadvertent Custody of Client Funds |
| 10/10/12 |
Notice of Request for Public Comment: Proposed Changes to Performance Fee Model Rules Under the Uniform Securities Acts of 1956 and 2002 |
| 07/23/12 |
Notice of Request for Public Comment: Proposed Revisions to Form ADV Part 1B |
| 04/16/12 |
Notice of Request for Public Comment: Proposed Model Franchise Exemptions |
| 09/21/11 |
Notice of Request for Public and Internal Comment: Cross Reference Sheets |
| 07/25/11 |
Notice of Request for Public and Internal Comment: Proposal to Revoke NASAA Health Care Facility Offering Statement of Policy |
| 06/30/11 |
Notice of Request for Public and Internal Comment: Proposed Model Franchise Exemptions |
| 06/13/11 |
Revised Proposed Model Rule for Exempt Reporting Advisers |
| 04/18/11 |
Notice of Request for Public Comment: New Model Rules Pertaining to Investment Adviser Custody |
| 02/17/11 |
Notice of Request for Public Comment: New Model Rules Pertaining to Investment Adviser Custody and Brochure Requirements |
| 12/10/10 |
Notice of Request for Internal and Public Comment on Proposed NASAA Model Rule on Private Fund Adviser Registration and Exemption |
| 07/29/09 |
Notice of Request for Internal and Public Comment on Proposed Statement of Policy Regarding Uniform Franchise Delivery Requirements |
| 07/28/09 |
Notice of Request for Public Comment on New Model Rules Pertaining to Investment Adviser Solicitors |
| 06/09/09 |
Notice for Request for Comment on Amendments to Forms U4 and U5 and Proposed Guidance for Filings by Investment Adviser Representatives |
| 02/20/09 |
Notice of Request for Public Comment on NASAA’s Proposed Adoption of a Statement of Policy Regarding Multi-State Review of Requests for Interpretive Opinions and No-Action Letters |
| 09/23/08 |
Notice of Request for Internal and Public Comment on NASAA’s Proposed Commentary to the 2008 Franchise Registration and Disclosure Guidelines |
| 07/18/08 |
Notice of Request for Public Comment on NASAA’s Proposed Amendments to its Model Rules on Investment Advisers and Investment Adviser Representatives |
| 02/26/08 |
Notice of Release for Internal and Public Comments on 2008 Franchise Registration and Disclosure Guidelines |
| 11/09/07 |
Notice of Release for Public Comments on Proposed NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations |
| 10/10/07 |
Notice of Release for Public Comments on Proposed Amendment of the NASAA CR-Equity Statements of Policy |
| 08/21/07 |
Notice of Release for Public Comments on Proposed Repeal of NASAA Guidelines for Registration of Periodic Payment Plans |
| 05/09/07 |
Notice of Release:Internal and public comments sought on a proposal by the NASAA Franchise Project Group for franchise states to accept, as of July 1, 2007, franchise disclosure prepared under the FTC’s new amended Franchise Rule with the addition of a new state cover page |
