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NASAA Proposals

Topic
Year
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

Comment Letters
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

Comment Letters
April 26, 2023

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

Comment Letters
March 7, 2023

Request for Public Comment on Proposed Amendments to Four NASAA Corporation Finance Statements of Policy

December 2, 2022

Request for Public Comment on a Proposed NASAA Model Rule for an Investment Adviser Representative Examination Validity Extension Program Under the 1956 and 2002 Uniform Securities Acts

Comment Letters
September 22, 2022

Notice of Request for Public Comment on Proposed Revisions to the Uniform Application to Register Securities (Form U-1)

Comment Letters
August 4, 2022

Request for Public Comment on Amendments to NASAA REIT Guidelines Extended

Comment Letters
June 22, 2022

Notice of Request for Public Comment on Proposed NASAA Model Rules to Extend the Validity Periods of Certain Examinations

Comment Letters
March 23, 2022

Notice of Request for Public Comment on Proposed Statement of Policy Regarding Peer-to-Peer Lending

Comment Letters




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