NASAA Proposals
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
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
- Tamara Salmon, Associate General Counsel, Investment Company Institute, October 2, 2018
- David Bellaire, Executive Vice President and General Counsel, Financial Services Institute, November 26, 2018
- Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group, November 26, 2018
- Max Schatzow, Stark & Stark Attorneys at Law, November 26, 2018
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
- Mary Frances Knight, Chief Operating Officer, StartEngine Crowdfunding, Inc., August 16, 2018
- Douglas S. Ellenoff, Co-founder; James P. Dowd, Co-founder; Sherwood Neiss, Co-founder; GUARRD, Inc., August 20, 2018
- Ryan M. Feit, Chief Operating Officer and Co-founder, SeedInvest, LLC, August 20, 2018
- Andrew Stephenson, Chief Product Officer, CrowdCheck, Inc., August 20, 2018
- Daniel Zinn, General Counsel, OTC Markets Group, Inc OTC-Markets-Group., August 20, 2018
June 12, 2018
Notice of Request for Public Comment: Proposed New State Cover Sheets to Franchise Disclosure Documents
Comment Letters
- Corporon & Katz, LLC, July 14, 2018
- Cheng Cohen LLC, July 13, 2018
- John D. Holland, Dady & Gardner. P.A., July 3, 2018
- Michael J. Katz, Corporon & Katz LLC, July 13, 2018
- Oklahoma Securities Department, July 13, 2018
- Christina Noyes, Gust Rosenfeld PLC, July 13, 2018
- Gray, Plant, Mooty & Bennett, P.A., July 12, 2018
- Brian N. McMahon, Shumaker, Loop & Kendrick, LLP, July 6, 2018
- Larkin, Hoffman, Daly & Lindgren, Ltd., July 5, 2018
