NASAA Proposals
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
19 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
4 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
5 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
9 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
December 18, 2017
Notice of Request for Public Comments Regarding Proposed Revisions to NASAA Corporation Finance Statements of Policy
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
1 Comment Letter
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
6 Comment Letters
- Anthony Chereso, President & CEO, Investment Program Association, December 8, 2016
- Mike Bendix, President, Alternative & Direct Investment Securities Association, November 2, 2016
- Pam Guerry, Executive Vice President, Signix, November 2, 2106
- Mary Ann Hanke and Nicole Iannarone, Georgia State University College of Law Investor Advocacy Clinic, November 2, 2016
- Seth Hertlein, Senior Counsel, FS Investments, November 2, 2016
- Thomas Lawson, Vice President, Folio Investing, October 3, 2016
September 14, 2016
Notice of Request for Comments Regarding a Proposed Franchise Commentary on Financial Performance Representations
5 Comment Letters
- Lane J. Fisher, Fisher Zucker, October 13, 2016
- Gardere Wynne Sewell LLP, October 13, 2016
- Gray, Plant, Mooty, Mooty & Bennett, P.A.’s Franchise Practice Group, October 13, 2016
- Beata Krakus, Greensfelder, Hemker & Gale, P.C., October 13, 2016
- Kristy L. Zastrow Attorney Dady & Gardner, P.A., October 13, 2016
