Adopted Model Rules & Acts
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September 29, 2015
Registration Exemption for Certain Merger & Acquisition Brokers
September 16, 2014
Electronic Filing Depository (EFD) Implementation Model Rule for the Electronic Filing of Form D
October 8, 2013
Registration Exemption for Investment Advisers to Private Funds
April 15, 2013
Contents of Investment Advisory Contract Model Rule USA 2002 502(c) (Contains NASAA Performance-Based Compensation Exemption)
April 15, 2013
Performance-Based Compensation Exemption for Investment Advisers 102(f)-3 under the Uniform Securities Act of 1956
September 9, 2012
Model Franchise Exemptions
December 16, 2011
Registration Exemption for Investment Adviser to Private Funds (Amended October 8, 2013)
September 11, 2011
