NASAA Proposals

Proposals to adopt, amend or repeal NASAA Model Rules and Statements of Policy

04/15/14 Notice of Request for Public Comment on 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 on 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
08/21/11 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