Adopted Model Rules
Current model rules are posted here. Please direct inquiries about prior model rules to the NASAA Legal Department.
April 7, 2025
NASAA Model Rule: Dishonest or Unethical Business Practices of Broker-Dealers and Agents
May 6, 2024
Model Rule Exempting Certain Merger & Acquisition Brokers (“M&A Brokers”) from Registration
April 17, 2023
NASAA Investment Adviser Representative Examination Validity Extension Program Model Rule
May 16, 2022
