NASAA Proposals
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
50 Comment Letters
- Formatted Comment Letter (As of the close of the comment period on December 4, 2023, we received seven comment letters submitted in this format.)
- Trent Mohn, September 13, 2023
- Kent A. Mason, Davis & Harman LLP, October 13, 2023
- Tom Ripperda, November 14, 2023
- Luke Fuszard, November 15, 2023
- Jason Rae, President & CEO, Wisconsin LGBT Chamber of Commerce, November 20, 2023
- Bob Gibbs, US Congressman, Retired, November 21, 2023
- Sherill Whisenand, November 25, 2023
- Gil Baumgarten, President, Segment Wealth Management, November 27, 2023
- Brett Lindstrom, November 27, 2023
- Allen W. Kerr, President, Allen Kerr Advisors, November 29, 2023
- John Morrow, Wellsville City Councilmember, and Former Wellsville School Board Member, Former, November 29, 2023
- Charles Blasdel, The Blasdel Group, November 30, 2023
- Brandon Rickman and John Sheley, Home Builders Association of Middle Tennessee, November 30, 2023
- State Senator Beau Ballard, Nebraska State Legislature, December 1, 2023
- Matthew Benchener, Managing Director, Personal Investor, Vanguard Group, Inc., December 1, 2023
- Kevin M. Carroll, Deputy General Counsel, Securities Industry and Financial Markets Association, December 1, 2023
- Gregg Connell, Executive Vice President, Shenandoah Chamber & Industry Association, December 1, 2023
- Derwin Jackson, President & CEO, Franklin Housing Authority, December 1, 2023
- Karen Kerrigan, President & CEO, Small Business & Entrepreneurship Council, December 4, 2023
- Shawntell Kroese, December 1, 2023
- Longview Chamber of Commerce (East Texas), December 1, 2023
- Dorsey Ridley, December 1, 2023
- Tyler Riebhoff, December 1, 2023
- Anne Tennant, General Counsel, Morgan Stanley Wealth Management, December 1, 2023
- Sarah Wood, Director, State Policy & Regulatory Affairs, Insured Retirement Institute, December 3, 2023
- Althea Brown, Chief Legal Officer, LPL Financial, December 4, 2023
- American Council of Life Insurers, American Securities Association, Coalition for Business Development, Defined Contribution Alternatives Association, Defined Contribution Real Estate Council, Financial Services Institute, Finseca, Florida Securities Dealers Association, Institute for Portfolio Alternatives, Insured Retirement Institute, National Association of Insurance and Financial Advisors, Nareit, Ohio Chamber of Commerce, Securities Industry & Financial Markets Association, The Real Estate Roundtable, US Chamber of Commerce, December 4, 2023
- Anya Coverman, President and CEO, Institute for Portfolio Alternatives, December 4, 2023
- Scott Curtis, President, Private Client Group, Raymond James Financial, Inc., December 4, 2023
- Lynn Dudley, Senior Vice President, Global Retirement and Compensation Policy, American Benefits Council, December 4, 2023
- Eversheds Sutherland (US) LLP for the Committee of Annuity Insurers, December 4, 2023
- Daniel M. Gallagher, Chief Legal and Corporate Affairs Officer, Robinhood Financial LLC, December 4, 2023
- Casey Galligan, Co-Chief Executive Officer, Ares Wealth Management Solutions, LLC, December 4, 2023
- Andrew Hartnett, Deputy Commissioner for Securities, Iowa Insurance Division, Doug Ommen, Commissioner, Department of Insurance and Financial Services, and Vicki Schmidt, Commissioner, Kansas Insurance Department, December 4, 2023
- State Senator Ricky Hill, Chair of the Arkansas Senate Insurance & Commerce Committee, December 4, 2023
- Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association, December 4, 2023
- Fairbridge Investor Rights Clinic, Elisabeth Haub School of Law at Pace University, December 4, 2023
- Mario H. Lopez, President, Hispanic Leadership Fund, December 4, 2023
- State Representative John Maddox, Chairman of the Arkansas House Insurance & Commerce Committee, December 4, 2023
- Kristen Malinconico, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce, December 4, 2023
- Jennifer McAdam and Madison Ward, American Council of Life Insurers, December 4, 2023
- Montana Business Leadership Council, December 4, 2023
- Todd O’Hair, President & CEO, Montana Chamber of Commerce, December 4, 2023
- Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group, December 4, 2023
- Securities Arbitration Clinic at St. John’s University School of Law, December 4, 2023
- Charles H. Sturdy, Chief Legal Officer, Fidelity Investments LLC, December 4, 2023
- Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute, December 4, 2023
- Michael Underhill, President, Alternative and Direct Investment Securities Association, December 4, 2023
- James Beauchamp, President, Midland-Odessa Transportation Alliance, December 5, 2023
April 26, 2023
Notice of Request for Comment Regarding the Uniform Securities Act Manual Exemption
1 Comment Letter
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
2 Comment Letters
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
- Formatted Comment Letter. (As of the close of the comment period on September 12, 2022, we received 344 comment letters submitted in this format.)
- Lauren Dalton, Sanctuary Wealth, July 25, 2022
- Dan Jamieson, July 26, 2022
- Alternative & Direct Investment Securities Association, American Investment Council, American Securities Association, Coalition for Business Development, CRE Finance Council, Defined Contribution Alternatives Association, Financial Services Institute, ICSC, Institute for Portfolio Alternatives, Insured Retirement Institute, Managed Funds Association, National Association of Insurance and Financial Advisors, Nareit, Securities Industry and Financial Markets Association (SIFMA), SIFMA Asset Management Group, Small Business Investor Alliance, The Real Estate Roundtable, August 2, 2022
- Investment Company Institute, August 3, 2022
- Rick Sowers, VIP Capital, Inc., August 5, 2022
- Rafay Farooqu, SUBSCRIBE, August 6, 2022
- Andrew Cortez, Sanctuary Wealth, August 8, 2022
- Craig J. McCann, PhD, CFA, SLCG Economic Consulting, August 11, 2022
- Jan L. Owen, Manatt, Phelps & Phillips, LLP, on behalf of the California Business Roundtable, August 19, 2022
- Elizabeth Gray, Sanctuary Wealth, August 22, 2022
- Brookfield Asset Management, August 24, 2022
- Kevin T. Gannon, Robert A. Stanger & Co., Inc., September 6, 2022
- New Jersey Business and Industry Association, September 8, 2022
- Jeffrey D. DeBoer, The Real Estate Roundtable, September 8, 2022
- Christopher W. Gerold, Lowenstein Sandler, on behalf of Blackstone Real Estate Income Trust, Inc., September 9, 2022
- Thayer Gallison, CFA, Cottonwood Residential, September 9, 2022
- Patrick J. Tiberi, Ohio Business Roundtable (OBRT), September 9, 2022
- C. Allan Swaringen, Nareit, September 9, 2022
- U.S. Representatives Trey Hollingsworth (IN) and Warren Davidson (OH), September 9, 2022
- William M. Beatty, Washington State Securities Division, September 9, 2022
- Steve Stivers, Ohio Chamber of Commerce, September 9, 2022
- Jonathan Epstein, Defined Contribution Alternatives Association, September 10, 2022
- Mark Quinn, Cetera Financial Group, September 12, 2022
- U.S. Representatives Steve Chabot (OH) and Warren Davidson (OH), September 12, 2022
- Seth A. Miller, Cambridge Investment Research, Inc., September 12, 2022
- Kristen Malinconico, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce, September 12, 2022
- John H. Grady and Catherine Bowman, Co-Chairs, ADISA Legislative & Regulatory Committee, Alternative and Direct Investment Securities Association (ADISA), September 12, 2022
- Ares Wealth Management Solutions, LLC, September 12, 2022
- Cornell Securities Law Clinic, September 12, 2022
- Investment Adviser Association, September 12, 2022
- Christopher B. Fischer, Invesco Ltd., September 12, 2022
- Americans for Financial Reform Education Fund, Better Markets, Consumer Action, Consumer Federation of America, Economic Policy Institute, Public Citizen, U.S. PIRG, September 12, 2022
- Anya Coverman, Institute for Portfolio Alternatives, September 12, 2022
- Mitchell A. Sabshon, Inland Real Estate Investment Corporation, September 12, 2022
- Ian J. Frimet, LPL Financial, September 12, 2022
- University of Miami School of Law Investor Rights Clinic, September 12, 2022
- Securities Arbitration Clinic at St. John’s University School of Law and the Fairbridge Investor Rights Clinic at Elisabeth Haub School of Law at Pace University, September 12, 2022
- American Investment Council, American Securities Association, Coalition for Business Development, Defined Contribution Alternatives Association, Financial Services Institute, Florida Securities Dealers Association, Institute for Portfolio Alternatives, Insured Retirement Institute, National Association of Insurance and Financial Advisors, Small Business Investor Alliance, Securities Industry and Financial Markets Association (SIFMA), U.S. Chamber of Commerce, September 12, 2022
- CRE Finance Council, ICSC, Institute for Portfolio Alternatives, Nareit, National Multifamily Housing Council, Real Estate Roundtable, September 12, 2022
- Defined Contribution Alternatives Association (DCALTA) and Defined Contribution Real Estate Council (DCREC), September 12, 2022
- Robin M. Traxler, Financial Services Institute, September 12, 2022
- Michael Edmiston, Public Investors Advocate Bar Association, September 12, 2022
- Robert H. Bergdolt, September 12, 2022
- Lindsey Weber Keljo, Esq., SIFMA Asset Management Group, September 12, 2022
- Simpson Thacher & Bartlett LLP, September 12, 2022
- Keith A. Jones, TIAA and Nuveen, September 12, 2022
- Gordon G. Repp, LaSalle Investment Management, Inc., September 12, 2022
- U.S. Representatives Bill Huizenga (MI), Tom Emmer (MN), and Young Kim (CA), September 15, 2022
- David Certner, AARP, October 17, 2022
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
- 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
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
- 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)
12 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
Washington, DC 20002
