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In addition to providing comments on regulatory proposals of federal and industry securities regulators, NASAA formulates Model Rules and Statements of Policy for implementation by its members as an ongoing priority to promote and encourage uniformity among its members in the interest of investor protection and to provide a regulatory framework for responsible capital formation. 

COMMENT LETTERS

NASAA regularly submits comment letters regarding proposed rules from the SEC, FINRA and others. All NASAA comment letters are included in an index searchable by keyword or year.

NASAA PROPOSALS

Requests for public comment on proposed NASAA Model Rules or Statements of Policy, including comment letters received and the model policy as adopted.

SEARCHABLE INDEXES

STATEMENTS OF POLICY

This is a searchable index by topic and year of all NASAA Statements of Policy. 

INDEX

ADOPTED MODEL RULES

This is a searchable index by topic and year of all NASAA Model Rules.

INDEX

STATE RULE PROPOSALS

This is a searchable index by topic and year of rule rule proposals by NASAA member jurisdictions.

INDEX