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NASAA Proposals

Topic
Year
July 25, 2017

Notice of Request for Public Comment Regarding a Proposed Model Rule Amendment to the Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers Model Rule to Include Investment Adviser Account Access Under the Uniform Securities Acts of 1956 and 2002

Comment Letters
December 7, 2016

Notice of Request for Public Comment Regarding a Proposed Model Statute, a Proposed Model Rule, and a Proposed Solicitation of Interest Form to Permit Testing The Waters in Regulation A Tier 1 Offerings

Comment Letters
October 3, 2016

Notice of Request for Public Comments on a Proposed Statement of Policy Regarding the Use of Electronic Offering Documents and Electronic Signatures

Comment Letters
September 14, 2016

Notice of Request for Comments Regarding a Proposed Franchise Commentary on Financial Performance Representations

Comment Letters
July 27, 2016

Proposed Amendment to the NASAA Statement of Policy Regarding Real Estate Investment Trusts

Comment Letters
May 16, 2016

Proposed NASAA Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings

Comment Letters
May 2, 2016

Proposed Statement of Policy on the Use of Electronic Offering Documents and Electronic Signatures

Comment Letters
April 1, 2016

Proposed New Multistate Form U-1 and a Revised Form U-2

Comment Letters
January 27, 2016

Proposed NASAA Model Rule and Uniform Notice Filing Form for Regulation A – Tier 2 Offerings

Comment Letters
October 1, 2015

Proposed NASAA Franchise Commentary on Financial Performance Representations

Comment Letters