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NASAA Requests Comments on IA Model Rules

By Jim Hamilton

The Investment Adviser Regulatory Policy and Review Project Group of the North American Securities Administrators Association (NASAA) is soliciting public comments on two sets of model rules it created for investment advisers and investment adviser representatives. The first set of model rules coordinate generally with the investment adviser and investment adviser representative provisions of the Model Uniform Securities Act of 2002, created to act as a helpful template for those states having adopted or planning to adopt the 2002 Act. The second set are model rules to coordinate specifically with the investment adviser/investment adviser representative exam requirements of both the 2002 Act and the Uniform Securities Act of 1956.

The comment period will be open for 21 days, from Friday, July 18 to Friday, August 8, 2008. Comments should be sent to Kenneth Hojnacki, Wisconsin Dept. of Financial Institutions, Division of Securities, P.O. Box 1768, Madison, Wisconsin 53701-1768; kenneth.hojnacki@dfi.state.wi.us.

Full post as published by Jim Hamilton's World of Securities Regulation on July 21, 2008 (boomark / email).