Regulatory Comment Letters

Topic
Year
January 11, 2013

Notice of Request for Public and Internal Comment: Proposed Changes to Model Custody and Recordkeeping Rules Under the Uniform Securities Acts of 1956 and 2002 To Clarify Requirements Relating to Inadvertent Custody of Client Funds

The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for internal and public comment the following proposed changes to Model Rules 102(e)(1)-1 and 203(a)-2 under the Uniform Securities Act of 1956 and Model Rules USA 2002 411(c)-1 and USA 2002 411(f)-(1) under the Uniform Securities Act of 2002 […]
October 10, 2012

Notice of Request for Public Comment: Proposed Changes to Performance Fee Model Rules Under the Uniform Securities Acts of 1956 and 2002

The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for public comment the following proposed changes to Model Rule 102(f)-3 under the Uniform Securities Act of 1956 and Model Rule  502(c) under the Uniform Securities Act of 2002 (“the performance fee model rules” or “the Model Rules”). Public […]
December 22, 2011

Letter of Support for S. 1907, the PCAOB Enforcement Transparency Act of 2011

December 21, 2011 The Honorable Tim Johnson Chairman Senate Committee on Banking, Housing, & Urban Affairs 534 Dirksen Senate Office Building Washington, DC 20510  The Honorable Richard ShelbyRanking MemberSenate Committee on Banking,Housing, & Urban Affairs534 Dirksen Senate Office BuildingWashington, DC 20510 Dear Chairman Johnson and Ranking Member Shelby: On behalf of the North American Securities Administrators Association (NASAA) I amwriting […]
November 3, 2011

NASAA Comment Letter to House of Representatives in Opposition of H.R. 2930

November 3, 2011 The Honorable John Boehner Speaker United States House of Representatives Washington, DC 20515 The Honorable Nancy Pelosi Minority Leader United States House of Representatives Washington, DC 25015   Dear Mr. Speaker and Madam Leader: I am writing on behalf of the North American Securities Administrators Association (NASAA) to express my opposition to […]




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