Statements of Policy
NASAA Adopted Statements of Policy Index
Uniform Franchise Delivery Requirements
Franchise Registration and Disclosure Guidelines
Dishonest or Unethical Business Practices of Broker-Dealers and Agents
Multi-State Review of Requests for Interpretive Opinions and No-Action Letters
World Class Foreign Issuer Exemption
Underwriting Expenses and Underwriter’s Warrants
Specificity in Use of Proceeds
General Obligation Financing by Religious Denominations
Registration of Commodity Pool Programs
Registration of Asset-Backed Securities
Registration and Qualification of Oil and Gas Programs
Model Accredited Investor Exemption
Loans and Other Material Affiliated Transactions
Internationalization of Securities
Health Care Facility Offerings
Uniform Disclosure Guidelines for Cover Legends
Franchise Advertising on the Internet
Electronic Delivery of Franchise Disclosure Documents
Corporate Securities Definitions
Cross Border Trading by Broker-Dealers and Agents
Church Extension Fund Securities
Church Bonds – Cross Reference Sheet
Registration of Publicly Offered Cattle-Feeding Programs
Direct Participation Programs
The NASAA membership has voted to approve amendments to the Statements of Policy for the following Direct Participation Programs:
Registration of Asset-Backed Securities
Registration of Commodity Pool Programs
Registration of Equipment Programs
Registration of Mortgage Programs
Registration of Oil and Gas Programs
Please contact the states in which you plan to file a registration to determine if the state has adopted these amendments.
