NASAA Proposals
July 27, 2016
Proposed Amendment to the NASAA Statement of Policy Regarding Real Estate Investment Trusts
19 Comment Letters
- Steven A. Weschler, President & CEO, National Association of Real Estate Investment Trusts
- A. Sidney Browning, Managing Partner, Chief Executive Officer Integras Partners
- Martin A. Hewitt, Chair, Committee on the State Securities Regulation, American Bar Association,
- William F. Galvin, Massachusetts Secretary of the Commonwealth
- Daniel Wildermuth, CEO, Kalos Financial, Inc.
- Rushelle Bailey, Kaela Dahan and Elizabeth Goldman, Cardozo School of Law
- Andres Gil, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
- Kirk A. Montgomery, Head of Regulatory Affairs, CNL Financial Group, Inc.
- William A. Jacobson, Esq. and Christina M. Kim, Cornell Securities Law Clinic,
- Michael F. Gerber, Executive Vice President; Stephen S. Sypherd, General Counsel; and Seth A. Hertlein, Senior Counsel; FS Investments,
- Robin Traxler, Esq., Vice President, Regulatory Affairs & Associate General Counsel, Financial Services Institute,
- Anthony J. Chereso, President & CEO, Investment Program Association
- Charles J. Schreiber, Jr., Chief Executive Officer, KBS Capital Advisors
- Craig J. McCann, Securities Litigation & Consulting Group
- Brian J. Henderson, Assistant Professor of Finance, The George Washington University
- Marnie C. Lambert, PIABA Executive Vice President/President‐Elect, Chair of NASAA Committee, Public Investors Arbitration Bar Association
- Mike Bendix, President, Alternative & Direct Investment Securities Association
- Michael A. Pagano, Executive Vice President, Compliance, Legal and Risk Assessment, 1st Global
- Keith King, Brendan Lee, Christine Lazaro, Esq.; St. John’s University School of Law Securities Arbitration Clinic
May 16, 2016
Proposed NASAA Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings
1 Comment Letter
May 2, 2016
Proposed Statement of Policy on the Use of Electronic Offering Documents and Electronic Signatures
As adopted:
NASAA STATEMENT OF POLICY REGARDING USE OF ELECTRONIC OFFERING DOCUMENTS AND ELECTRONIC SIGNATURES
NASAA STATEMENT OF POLICY REGARDING USE OF ELECTRONIC OFFERING DOCUMENTS AND ELECTRONIC SIGNATURES
5 Comment Letters
- Michael A. Bendix, President; Alternative & Direct Investment Securities Association
- David Bergers, General Counsel; LPL Financial,
- Anthony Chereso, Chair, Investment Program Association,
- Sandra L. Perion, Senior Vice President-Operations; Inland Real Estate Investment Corporation,
- Stephen S. Sypherd, General Counsel, and Seth Hertline, Senior Counsel; Franklin Square Capital Partners
January 27, 2016
Proposed NASAA Model Rule and Uniform Notice Filing Form for Regulation A – Tier 2 Offerings
1 Comment Letter
October 1, 2015
Proposed NASAA Franchise Commentary on Financial Performance Representations
14 Comment Letters
- Cheng Cohen LLC
- Lane Fisher; Fisher Zucker LLC
- Gray, Plant, Mooty, Mooty & Bennett, P.A.
- Tanja E. Hens & Leslie J. Pujo; LaPlaca Pjuo PC
- Stuart Hershman; DLA Piper LLP,
- Warren Lee Lewis; Akerman LLP
- Christina M. Noyes; Gust Rosenfeld PLC
- Brian B. Schnell; Faeger Baker Daniels,
- Darrell M. Johnson; FRANdata
- Dawn Newton; Holmes Lofstrom PC & Margaret Narodick; Donahue Fitzgerald LLP
- Will Woods & Ann Hurwitz; Baker McKenzie LLP,
- David Cahn; Whiteford, Taylor & Preston
- Michael Seid; MSA Worldwide,
- David Gurnick; Lewitt Hackman, Shapiro, Marshall & Harlan
September 29, 2015
Proposed NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation
21 Comment Letters
- Barbara Roper, Director of Investor Protection, Consumer Federation of America
- David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute
- Hugh Berkson, President, Public Investors Arbitration Bar Association
- Louis Dempsey, President, Florida Securities Dealers Association
- Robert Egge, Executive Vice President, The Alzheimer’s Association
- Rick A. Fleming, Investor Advocate, Office of the Investor Advocate, U.S. Securities and Exchange Commission
- Marin Gibson, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
- Nicole Iannarone, Chris Pugh, Jason Robinson, Darius Wood, Georgia State University College of Law, Investor Advocacy Clinic
- Ronald Long, Director of Regulatory Affairs and Elder Client Initiatives, Wells Fargo Advisors
- Lynne Person, Long-Term Care Ombudsman, Office of the DC Long-Term Care Ombudsman Program
- K.E. Posey
- Michelle Tang and Eleanor Lanier, University of Georgia School of Law
- Catherine Weatherford, President & CEO, Insured Retirement Institute
- Kathleen M. Quinn, Executive Director, National Adult Protective Services Association
- Steve Kline, Director of State Government Relations, National Association of Insurance and Financial Advisors,
- Jill Randall, Esq. Legal Services for the Elderly
- Ricker Hamilton, Deputy Commissioner of Programs, Maine Department of Health and Human Services
- Kurt Schacht and Linda Rittenhouse, CFA Institute
- Bruce S. Ross, Robert Barton, Richard W. Petty; Holland & Knight LLP
- Thomas Fields
- Ken Kivenko, President, Kenmar Associates
