Adopted Model Rules

Home > Policy > Regulatory Policy > Model Rules

Current model rules are posted here. Please direct inquiries about prior model rules to the NASAA Legal Department.

September 9, 2012

NASAA Model Franchise Exemptions

September 11, 2011

NASAA Brochure Rule Requirements for Investment Advisers Model Rule 203(b)-1

September 11, 2011

NASAA Minimum Financial Requirements for Investment Advisers Model Rule 202(d)-1

April 1, 2008

NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations

July 1, 2005

Multi-Jurisdictional Disclosure System

October 2, 2004

Model Secondary Market Trading Exemption for Qualifying Canadian Securities

September 16, 2000

NASAA Withdrawal from Registration of Investment Advisers and Investment Adviser Representatives Model Rule 204(a)-1

September 16, 2000

NASAA Notice Filing Requirements for Federal Covered Advisers Model Rule 202(b)-1

September 16, 2000

NASAA Electronic Filing Requirements for Investment Advisers Model Rule 202(a)-A

September 16, 2000

IARD Implementation Model Rules