Regulatory
April 3, 2019
Putting Investors First: Reviewing Proposals to Hold Executives Accountable
Testimony of NASAA Board member and Maryland Securities Commissioner Melanie Senter Lubin at an April 3, 2019 hearing before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets.
November 2, 2018
Notice of Request for Public Comment Regarding Updates to the SCOR Statement of Policy and the SCOR Form (FORM U-7)
The North American Securities Administrators Association, Inc. (NASAA) is requesting public comments regarding proposed updates to the SCOR Statement of Policy and the SCOR Form (Form U-7). DOWNLOAD: Notice of Request for Public Comment The SCOR Statement of Policy was last updated in 1996 and the SCOR Form was last updated in 1999. Since that […]
October 11, 2018
Washington Securities Division Adopts Rule Regarding Broker-Dealer, Investment Adviser Fees
September 23, 2018
Request for Public Comment Regarding a Proposed IA Model Rule for Information Security and Privacy Under the Uniform Securities Acts of 1956 and 2002
September 23, 2018 Download: Notice of Request for Public Comment The North American Securities Administrators Association, Inc. (NASAA) is requesting public comment on a proposed investment adviser model rule to address information security and privacy, a proposed amendment to the investment adviser NASAA model Recordkeeping Requirements rule, and a proposed amendment to the NASAA model […]
July 19, 2018
Notice of Request for Public Comments Regarding a Proposed Model Rule to Designate Nationally Recognized Securities Manuals for Purposes of the Manual Exemption and a Proposed Model Rule to Exempt Secondary Trading in Securities Issued by Regulation A-Tier 2 Issuers
July 19, 2018 The North American Securities Administrators Association, Inc. (NASAA) is requesting public comments regarding two proposed model rules that would facilitate secondary trading in securities of issuers about which there is certain publicly available information about the issuer. The first proposed model rule would designate certain sources as nationally recognized securities manuals or […]
July 3, 2018
