NASAA and State Law

Selected NASAA and State Law materials

NASAA Model Statutes

Uniform Securities Act (2002, last amended 2005)

Uniform Securities Act (1956), As Amended

NASAA Model Rules

Advisers

Definition of Investment Adviser Representative Model Rule

IARD Implementation Model Rules

Investment Adviser Model Rules Under the USA 2002

NASAA Agency Cross Transaction of Investment Advisers Model Rule 102(f)-1

NASAA Assignment Exemption for Investment Advisers Model Rule 102(f)-4

NASAA Bonding Requirements for Investment Advisers, Amended September 11, 2011

NASAA Brochure Rule Requirements for Investment Advisers Model Rule 203(b)-1

NASAA Contents of Investment Advisory Contract Model Rule USA 2002 502(c), Adopted April 15, 2013 (Contains NASAA performance-based compensation exemption)

NASAA Custody Requirements for Investment Advisers Model Rule Rule 102(e)(1)-1

NASAA Electronic Filing Requirements for Investment Advisers Model Rule 202(a)-A

NASAA Examination Requirements for Investment Advisers and Investment Adviser Representatives Model Rule 204(b)(6)-1

NASAA Financial Reporting Requirements for Investment Advisers Model Rule 203(c)-1

NASAA Investment Adviser Recordkeeping Requirements, Amended September 11, 2011

NASAA Late Fee Payment Remedies Requirements for Investment Advisers Model Rule 401(n)-1

NASAA Minimum Financial Requirements for Investment Advisers, Amended September 11, 2011

NASAA Model Franchise Exemptions, Adopted September 9, 2012.

NASAA Model Rule on Business Continuity and Succession Planning and IA BCP Rule and Guidance

NASAA Notice Filing Requirements for Federal Covered Advisers Model Rule 202(b)-1

NASAA Performance-Based Compensation Exemption for Investment Advisers Model Rule 102(f)-3 (superseded and replaced by revised rule 102(f)-3, effective April 15, 2013, see above)

NASAA Performance-Based Compensation Exemption for Investment Advisers, Model Rule 102(f)-3, under the Uniform Securities Act of 1956, Adopted April 15, 2013

NASAA Principal Transaction Anti-Fraud Provisions for Investment Advisers Model Rule 102(f)-2

NASAA Registration Exemption for Investment Adviser to Private Funds Model Rule, Adopted December 16, 2011 (Amended October 8, 2013)

NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule, Amended Oct. 8, 2013

NASAA Registration Requirements for Investment Adviser Representatives Model Rule 202(a)-2

NASAA Registration Requirements for Investment Advisers Model Rule 202(a)-1

NASAA Withdrawal from Registration of Investment Advisers and IA Representatives Model Rule 204(e)-1

Revised Investment Adviser Model Rule on Exams, Under the 1956 Act

Revisions to Model Custody and Recordkeeping Rules under the 1956 and 2002 Uniform Securities Acts to Clarify Requirements Relating to Inadvertent Custody of Client Funds, Effective April 15, 2013

Unethical Business Practices of Investment Advisers

The Protection of Vulnerable Adults from Financial Exploitation​