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Adopted Model Rules & Acts

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May 15, 2016

Notice Filing for Regulation A-Tier 2 Offerings

January 22, 2016

NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation

September 29, 2015

Registration Exemption for Certain Merger & Acquisition Brokers

April 13, 2015

Business Continuity and Succession Planning and IA BCP Rule and Guidance

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

April 15, 2013

NASAA Investment Adviser Recordkeeping Model Rules (203(a)-2 and 411(c)-1)

April 15, 2013

NASAA Investment Adviser Custody Model Rules (102(e)(1)-1 and 411(f)-(1))