NASAA Proposals
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
- 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
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
