Notice of Request for Public Comment Regarding a Proposed IA Model Rule and Guidance for Business Continuity and Succession Planning Under the Uniform Securities Acts of 1956 and 2002

The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) is seeking comment on a proposed model rule and guidance requiring investment advisers to create and implement written procedures to address business continuity and succession planning under the Uniform Securities Act of 1956 and under the Uniform Securities Act of 2002.


Public Comment Period

The public comment period initially remained open from August 1, 2014 until October 1, 2014, and has been extended until November 1, 2014. To facilitate consideration of comments, please send comments to Patricia Struck (, Chair of the Investment Adviser Section and A. Valerie Mirko ( at the NASAA Legal Department.

We encourage, but do not require, comments to be submitted by e-mail. We also welcome any general comments on the issues of business continuity and succession planning in connection with investment advisers.

Hard copy comments can be submitted at the address below.

NASAA Legal Department
A.Valerie Mirko, Deputy General Counsel
750 First Street, NE, Suite 1140
Washington, DC 20002

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