Adopted Model Rules

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

September 16, 2000

NASAA Registration Requirements for Investment Advisers Model Rule 202(a)-1

September 6, 2000

NASAA Registration Requirements for Investment Adviser Representatives Model Rule 202(a)-2

October 6, 1998

Model Rules for Sales of Securities at Financial Institutions

May 3, 1998

Definition of Investment Adviser Representative

April 27, 1997

NASAA Late Fee Payment Remedies Requirements for Investment Advisers Model Rule 401(n)-1

September 3, 1987

NASAA Assignment Exemption for Investment Advisers Model Rule 102(f)-4

September 3, 1987

NASAA Principal Transaction Anti-Fraud Provisions for Investment Advisers Model Rule 102(f)-2

September 3, 1987

NASAA Agency Cross Transactions by Investment Advisers Model Rule 102(f)-1

September 3, 1987

NASAA Financial Reporting Requirements for Investment Advisers Model Rule 203(c)-1

September 21, 1983

Uniform Limited Offering Exemption