January 27, 2016

The Corporation Finance Section of the North American Securities Administrators Association (NASAA) is requesting public comments on a proposed model rule and uniform notice filing form. The model rule requires a notice filing for issuers utilizing the Regulation A – Tier 2 exemption in those states in which sales are made. The uniform notice filing form simplifies the filing process for issuers by incorporating documents filed on EDGAR and including consent to service of process language within the form.

Comments are due by February 26, 2016.

To facilitate consideration of comments, please send comments to:

Michael Pieciak (Michael.Pieciak@vermont.gov), Chair of the Corporation Finance Section; Faith Anderson (Faith.Anderson@dfi.wa.gov), Chair of the Small Business/Limited Offerings Project Group; and Mark Stewart (nasaacomments@nasaa.org) at the NASAA Corporate Office.

We encourage, but do not require, comments to be submitted by e-mail. Hard copy comments may be submitted at the address below.

NASAA Legal Department
Mark Stewart, Counsel
750 First Street, NE, Suite 990
Washington, DC 20002

Note: After the comment period has closed, NASAA will post to its website the comments it receives as submitted by the authors. Parties should therefore only submit information that they wish to make publicly available. Further, the following notice will appear on NASAA’s website where comments are posted: NASAA, its agents, and employees accept no responsibility for the content of the comments posted on this Web page. The views, expressions, and opinions expressed in the comments are solely those of the author(s).


Skip to content