Regulatory
October 30, 2013
Notice of Request for Public Comment: Proposed Coordinated Review Program for Section 3(b)(2) Offerings
October 30, 2013 — The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized release for public comment the accompanying materials regarding a new proposed coordinated review program for offerings exempt from registration federally under Section 3(b)(2) of the Securities Act of 1933. Section 3(b)(2) of the Securities Act of […]
October 15, 2013
Notice of Request for Public and Internal Comment on Proposed Franchise Multi-Unit Commentary
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release, for both public and internal comment, of a proposed Multi‐Unit Commentary related to state franchise disclosure laws. The proposal defines certain multi‐unit franchising arrangements that have become common in franchising and provides guidance for disclosing those arrangements in franchise disclosure documents. […]
August 15, 2013
Notice of Request for Public Comments on Proposed Changes to NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule 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 proposed changes to the NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule under the Uniform Securities Act of 1956 and under the Uniform Securities Act of 2002. Public Comment Period The public comment […]
July 16, 2013
Notice of Request for Public and Internal Comment on Proposed Changes to the Judgment-Lien Disclosure Reporting Page on Form U4
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release for internal and public comment for proposed changes to the Judgment/Lien Disclosure Reporting Page of the Uniform Application for Securities Industry Registration or Transfer (Form U4). Background and Summary Representatives of broker-dealers, investment advisers, or issuers of securities […]
July 16, 2013
Notice of Request for Public and Internal Comment on Proposed Changes to the Uniform Branch Registration Form (Form BR)
The Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) has authorized the release for internal and public comment proposed changes to the Uniform Branch Registration Form (Form BR), including its instructions. Background and Summary Form BR is the form used for branch office registration, notification, closing or withdrawal. Broker-dealers and […]
April 3, 2013
Washington Proposes Amendments to Rules for Investment Advisers
The Washington Securities Division is proposing to amend the rules for investment advisers in Chapter 460-24A WAC. The proposed rules would update various provisions of the investment adviser rules, including the rules regarding financial reporting requirements, custody, books and records, and unethical practices.
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 […]
July 26, 2012
Notice of Request for Public Comment on Proposed Revisions to Form ADV Part 1B
The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for public comment the following revisions to Form ADV Part 1B. Background and Discussion of Proposed Changes The Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (“Form ADV”) is used by investment advisers to register and/or […]
June 21, 2012
