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NASAA Proposals

Proposals to adopt, amend or repeal NASAA Model Rules, Acts and Statements of Policy

Topic
Year
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

July 25, 2017

Notice of Request for Public Comment Regarding a Proposed Model Rule Amendment to the Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers Model Rule to Include Investment Adviser Account Access Under the Uniform Securities Acts of 1956 and 2002

Comment Letters
December 7, 2016

Notice of Request for Public Comment Regarding a Proposed Model Statute, a Proposed Model Rule, and a Proposed Solicitation of Interest Form to Permit Testing The Waters in Regulation A Tier 1 Offerings

Comment Letters
October 3, 2016

Notice of Request for Public Comments on a Proposed Statement of Policy Regarding the Use of Electronic Offering Documents and Electronic Signatures

Comment Letters
September 14, 2016

Notice of Request for Comments Regarding a Proposed Franchise Commentary on Financial Performance Representations

Comment Letters
July 27, 2016

Proposed Amendment to the NASAA Statement of Policy Regarding Real Estate Investment Trusts

Comment Letters