NASAA Proposals
June 22, 2022
Notice of Request for Public Comment on Proposed NASAA Model Rules to Extend the Validity Periods of Certain Examinations
Comment Letters
- Richard Izzo, President, Association of Registration Management, Inc., July 22, 2022
- Robin Traxler, Senior Vice President, Policy and Deputy General Counsel, Financial Services Institute, July 22, 2022
- Robert L.D. Colby, Executive Vice President and Chief Legal Officer, FINRA, July 22, 2022
- John R. Cronin, Head of State Government Relations, LPL Financial, July 22, 2022
- Kim Chamberlain, Managing Director and Associate General Counsel, State Government Affairs, SIFMA, July 22, 2022
March 23, 2022
Notice of Request for Public Comment on Proposed Statement of Policy Regarding Peer-to-Peer Lending
Comment Letters
December 7, 2021
Notice of Request for Public Comment Regarding Proposed Statement of Policy Regarding the Use of Franchise Questionnaires and Acknowledgments
Comment Letters
- Bruce Holzman, December 23, 2021
- Bruce Napell, Lagarias, Napell & Dillon, LLP, January 5, 2022
- Robert Einhorn, Zarco, Einhorn, Salkowski & Brito, P.A., January 5, 2022
- Joel Libava, January 4, 2022
- Jeffrey Johnson, Franchise Research Institute, January 5, 2022
- Arne Schonberger, December 7, 2021
- Robert L. Purvin, Jr,, Chair, Board of Trustees, American Association of Franchisees and Dealers, January 4, 2022
- Peter C. Lagarias, Lagarias, Napell & Dillon, LLP, January 4, 2022
- Sean Kelly, Franchise Truth, December 21, 2021
- Michael Seid, Managing Director, MSA Worldwide, December 20, 2021
- Cheng Cohen LLC, January 5, 2022
- Plave Koch PLC, January 5, 2022
- Keith R. Miller, Principal, Franchisee Advocacy Consulting, January 4, 2022
- John Motta, CFA Chairman, and Misty Chally, CFA Executive Director, Coalition of Franchisee Associations, January 4, 2022
- Rochelle B. Spandorf, Davis Wright Tremaine LLP, January 4, 2022
- Stanley M. Dub, Esq., Adjunct Professor of Franchise Law, Case Western Reserve University, December 30, 2021
- John A. Gordon, Pacific Management Consulting Group, January 4, 2022
- Jeffrey S. Haff, Dady & Gadrner, P.A., January 5, 2022
- Andrew M. Malzahn, Dady & Gadrner, P.A., January 5, 2022
- Eric H. Karp and Thomas R. Ayres, Witmer, Karp, Warner & Ryan LLP, December 21, 2021
- Jess A. Dance, Polsinelli PC, January 5, 2022
- Thomas J. Kent, Jr., Esq., Kent Franchise Law Group, LLC, January 5, 2022
- Baker, Donelson, Bearman, Caldwell & Berkowitz, P.C., January 4, 2022
- James Lager, CEO, Texas Hose Pro, December 21, 2021
- Greensfelder, Hemker & Gale, P.C., January 5, 2022
- Brandon Moore, January 4, 2022
- Howard E. Bundy, Bundy Law Firm, PLLC., January 5, 2022
- Faegre Drinker Biddle & Reath LLP, January 5, 2022
- DLA Piper, LLP, January 5, 2022
- Caroline B. Fichter, Bundy Law Firm PLLC, January 5, 2022
- Joseph S. Good, Laffey, Leitner & Goode LLC, January 5, 2022
- International Franchise Association
- Larkin Hoffman, January 5, 2022
- Lathrop GPM LLP Franchise Group, January 5, 2022
- Peter N. Greenfeld, Law Offices of Peter N. Greenfeld, P.C., January 5, 2022
- Elliot R. Ginsburg, Garner, Ginsburg & Johnsen, P.A., January 4, 2022
- Robert Zarco, Esq., Zarco Einhorn Salkowski & Brito P.A., January 5, 2022
- Kim G. Perrotta, January 2, 2022
- William Sentell, Akerman LLP, January 5, 2022
October 5, 2021
Notice of Request For Public Comment Regarding Unpaid Arbitration Awards Model Rules
As adopted:
Model Rule for Unpaid Arbitration Awards Under the Uniform Securities Acts of 1956 and 2002 (May 2022)
Model Rule for Unpaid Arbitration Awards Under the Uniform Securities Acts of 1956 and 2002 (May 2022)
Comment Letters
- Cetera Financial Group
- Robin Traxler, Financial Services Institute
- Sarah E. Wood, Insured Retirement Institute
- J. Samuel Tenenbaum, Northwestern Pritzker School of Law
- Ken Kivenko
- John R. Cronin, LPL Financial
- Michael Edmiston, Public Investors Advocate Bar Association
- Kevin M. Carroll, Securities Industry and Financial Markets Association
- St. John’s University School of Law Securities Arbitration Clinic
- Steven B. Caruso
- Cornell Securities Law Clinic
- Robert Colby, Financial Industry Regulatory Authority
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
Comment Letters
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
- Travis Johnson, Director of Compliance, XY Planning Network, July 31, 2020
- Tamara Salmon, Associate General Counsel, Investment Company Institute, July 31, 2020
- Kevin R. Keller, CEO, CFP Board; Patrick Mahoney, Interim CEO, FPA; Geoffrey Brown, CEO, NAPFA on behalf of the Financial Planning Coalition, August 13, 2020
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
- Jeremy Eiden, Minnesota Securities Director, July 27, 2020
- Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, FSI, July 31, 2020
- Mark Quinn, Director of Regulatory Affairs, Cetera Financial, July 31, 2020
- Samuel B. Edwards, President, PIABA, July 30, 2020
- Kim Chamberlain, Managing Director & Associate General Counsel, SIFMA, July 31, 2020
May 26, 2020
Notice of Request for Public Comment Regarding a Proposed Model Whistleblower Award and Protection Act
Comment Letters
- Andrew C. Baker, Academic Fellow, Rock Center for Corporate Governance, Stanford University, June 29, 2020
- Robin Traxler, Senior Vice President & Deputy General Counsel, Financial Services Institute, June 30, 2020
- James Allen, Head, Capital Markets Policy, CFA Institute, June 30, 2020
- Tom Devine, Legal Director, Government Accountability Project, June 30, 2020
- Samuel B. Edwards, President Public Investors Advocate Bar Association, June 29, 2020
- Marin Gibson,Managing Director/Assoc. General Counsel, SIFMA, June 29. 2020
- Eric Havian, Attorney, Constantine Cannon LLP, June 30, 2020
- Neil A. Simon, Vice President for Government Relations, Investment Adviser Association, March 3, 2020
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
- Allan Moskowitz, Principal, Transformative Wealth Management, LLC February 13, 2020
- Stephen Madeyski, February 15, 2020
- Chad Nehring, Ontrack Advisor, February 17, 2020
- Joseph Malfeo, President, Hunter Street Investment Advisors, February 18, 2020
- Steven Thomas, President, Thomas RIA Compliance, LLC, February 18, 2020
- Charles Freeman, President, AdaptFirst Investments, February 19, 2020
- Glen Barnes, Ameritrust Investments of North Carolina, LLC, February 19, 2020
- Larry Blades, President, Retirement and Investment Solutions, LLC, February 19, 2020
- J.S. Crumpton, Managing Director, Gulfstream Capital, LLC, February 19, 2020
- David Hedges, President, Bookman Bright, Inc., February 20, 2020
- Bob Blanke, Braeside Financial Planning, LLC, March 2, 2020
- Steve Seligman, Remington Advisors, Inc. March 6, 2020
- Sean Waltrus, CEO, Investments and Wealth Institute, March 20, 2020
- Gordon Cooper, Principal and Chief Compliance Officer, Buttonwood Tree Advisors, LLC, March 20, 2020
- Julie Mendel, Senior Product Manager, WebCE, March 27, 2020
- Kim Chamberlain, Managing Director and Associate General Counsel, SIFMA, April 9, 2020
- W. Howard Thompson, President and Chief Investment Officer, Crescent Sterling, Ltd., April 13, 2020
- John Gebaur, President, NRS, April 13, 2020
- Michael Lesutis, VIce President, PFS Investments Inc., April 13, 2020
