Request for Comment Archive 2007-2014

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

08/01/14 Notice of Request for Public Comment: Proposed IA Model Rule and Guidance for Business Continuity and Succession Planning Under the Uniform Securities Acts of 1956 and 2002

06/30/14 Notice of Request for Comment: Proposed Model Rule for the Electronic Filing of Form D and Other Securities Registration/Notice Filing Documents

06/16/14Notice of Request for Public Comment: Proposed Changes to Franchise Multi-Unit Commentary

04/15/14 Notice of Request for Public Comment: Proposed Changes to Franchise Multi-Unit Commentary

10/30/13Notice 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: 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 Funds1

0/10/12 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

4/16/12 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

06/30/11Notice 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

08/21/07 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