Public Comments on NASAA Proposals

NASAA, its agents, and employees accept no responsibility for the content of the comments posted on this page. The views, expressions, and opinions expressed in the comments are solely those of the author(s).


Proposed IA Model Rule for Information Security and Privacy Under the Uniform Securities Acts of 1956 and 2002
Notice of Request for Comment | Comment period closes November 26, 2018.

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
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed New State Cover Sheets to Franchise Disclosure Documents 
Notice of Request for Comment | Comments Received  (Comment Period Closed)

Proposed Revisions to NASAA Corporation Finance Statements of Policy 
Notice of Request for Comment | No Comments Received (Comment Period Closed)

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
Notice of Request for Comment | Comments Received  (Comment Period Closed)

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 
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed Statement of Policy Regarding the Use of Electronic Offering Documents and Electronic Signatures
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed Franchise Commentary on Financial Performance Representations
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed Amendment to the NASAA Statement of Policy Regarding Real Estate Investment Trusts
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed NASAA Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed Statement of Policy on the Use of Electronic Offering Documents and Electronic Signatures, May 2, 2016
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed New Multistate Form U-1 and a Revised Form U-2, April 1, 2016
Notice of Request for Comment | No comments received. (Comment Period Closed)

Proposed Revisions to NASAA Corporation Finance Statements of Policy, April 1, 2016
Notice of Request for Comment | No comments received. (Comment Period Closed)

Proposed NASAA Model Rule and Uniform Notice Filing Form for Regulation A – Tier 2 Offerings, January 27, 2016
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed NASAA Franchise Commentary on Financial Performance Representations, Oct. 1, 2015
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation, September 29, 2015
Notice of Request for Comment | Comments Received (Comment Period Closed)

Proposed NASAA Model Rule Exempting Certain Merger and Acquisition Brokers from State Registration, April 16, 2015
Notice of Request for Comment | Comments Received (Comment Period Closed)

 

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