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
