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NASAA’s Proposed Amendments to its Model Rules on Investment Advisers and Investment Adviser Representatives

NASAA’s Investment Adviser Regulatory Policy and Review Project Group (“Project Group”) is soliciting comments from the public on a proposed…

NASAA's Proposed Amendments to its Model Rules on Investment Advisers and Investment Adviser Representatives

NASAA’s Investment Adviser Regulatory Policy and Review Project Group (“Project Group”) is soliciting comments from the public on a proposed…

Notice of Request for Public Comment: Proposed Changes to Performance Fee Model Rules Under the Uniform Securities Acts of 1956 and 2002

The Board of Directors of the North American Securities Administrators Association, Inc. (“NASAA”) has authorized release for public comment the…

NASAA Seeks Public Comment on Proposed Model Rules to Combat Unpaid Arbitration Awards and Fines

Download: Notice of Request for Public Comment WASHINGTON, D.C. (October 5, 2021) – The North American Securities Administrators Association (NASAA)…

New Model Rules Pertaining to Investment Adviser Custody and Brochure Requirements

NASAA’s Investment Adviser Regulatory Policy and Review Project Group is soliciting comments from interested persons regarding proposed changes to the NASAA…
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