NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™

NASAA Proposals

July 29, 2025

Notice of Request for Public Comment Regarding Proposed Amendments to the Investment Adviser Advertising Rules


July 28, 2025

Notice of Request For Public Comment Regarding a Proposed NASAA Model Franchise Broker Registration Act


March 25, 2025

Notice of Request for Public Comment on Proposed Amendments to the NASAA Statement of Policy Regarding Real Estate Investment Trusts

16 Comment Letters

November 4, 2024

Notice of Request for Public Comment Regarding Proposed Revisions to NASAA’s Dishonest or Unethical Business Practices of Broker-Dealers and Agents Model Rule

21 Comment Letters

September 3, 2024

Notice of Request for Public Comment on Proposed Clarifications to the NASAA Broker-Dealer EVEP Rules


May 13, 2024

Notice of Request for Public Comment on Proposed NASAA Model Franchise Broker Registration Act

135 Comment Letters

March 7, 2024

Notice of Request for Public Comment Regarding Proposed Amendments to the NASAA Model Rule on Examination Requirements for Investment Adviser Representatives


January 4, 2024

Notice of Request for Public Comment Regarding Proposed Amendments to NASAA Model Rule Exempting Certain Merger & Acquisition Brokers (“M&A Brokers”) from Registration

1 Comment Letter

September 5, 2023

Notice of Request for Public Comment Regarding Proposed Revisions to NASAA’s Dishonest or Unethical Business Practices of Broker-Dealers and Agents Model Rule

50 Comment Letters

April 26, 2023

Notice of Request for Comment Regarding the Uniform Securities Act Manual Exemption

1 Comment Letter





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