NASAA Proposals
May 16, 2016
Proposed NASAA Model Rule and Uniform Notice Filing Form for Federal Crowdfunding Offerings
Comment Letters
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
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
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
