NASAA Proposals

September 22, 2022

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

1 Comment Letter

August 4, 2022

Request for Public Comment on Amendments to NASAA REIT Guidelines Extended

50 Comment Letters

June 22, 2022

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

5 Comment Letters

March 23, 2022

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

2 Comment Letters

December 7, 2021

Notice of Request for Public Comment Regarding Proposed Statement of Policy Regarding the Use of Franchise Questionnaires and Acknowledgments

39 Comment Letters

October 5, 2021

Notice of Request For Public Comment Regarding Unpaid Arbitration Awards Model Rules

12 Comment Letters

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

1 Comment Letter

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

3 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

5 Comment Letters

May 26, 2020

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

8 Comment Letters





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