| 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 |
| 08/21/11 |
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 |
