NASAA Proposals
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
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
Washington, DC 20002
