Adopted Model Rules & Acts
Current model rules are posted here. Please direct inquiries about prior model rules to the NASAA Legal Department.
May 16, 2022
Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers
May 18, 2021
NASAA Restitution Assistance Fund Model Act
November 24, 2020
Investment Adviser Representative Continuing Education
November 24, 2020
Investment Adviser Written Policies and Procedures Under the Uniform Securities Acts of 1956 and 2002
August 31, 2020
NASAA Model Act to Award and Protect Whistleblowers
May 19, 2019
