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NASAA Proposals

Topic
Year
October 7, 2020

Notice of Request for Comments Regarding a Proposed Amendment to Investment Adviser Representative Continuing Education Program and Model Rule Under the Uniform Securities Acts of 1956 and 2002

July 2, 2020

Notice of Request for Public Comment Regarding Proposed Model Rule for Investment Adviser Written Policies and Procedures Under the Uniform Securities Acts of 1956 and 2002

Comment Letters
July 1, 2020

Notice of Request for Public Comment Regarding a Proposed Model Act to Create a Restitution Assistance Fund for Victims of Securities Violations

Comment Letters
May 26, 2020

Notice of Request for Public Comment Regarding a Proposed Model Whistleblower Award and Protection Act

Comment Letters
February 13, 2020

Notice of Request for Public Comment Regarding a Proposed Investment Adviser Representative Continuing Education Program and an Implementing Model Rule Under the Uniform Securities Acts of 1956 and 2002

Comment Letters
November 1, 2018

Notice of Request for Public Comment Regarding Updates to the SCOR Statement of Policy and the SCOR Form (FORM U-7)

September 23, 2018

Proposed IA Model Rule for Information Security and Privacy Under the Uniform Securities Acts of 1956 and 2002

Comment Letters
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

Comment Letters
June 12, 2018

Notice of Request for Public Comment: Proposed New State Cover Sheets to Franchise Disclosure Documents

Comment Letters
December 18, 2017

Notice of Request for Public Comments Regarding Proposed Revisions to NASAA Corporation Finance Statements of Policy