Tag Archives: NASAA’s

NASAA’s requests for SEC: Rename Reg BI, table Form CRS

By Anne Sherry, J.D. NASAA’s comments on the SEC’s suite of investor-protection rule proposals include a suggestion that the SEC rename Regulation Best Interest to avoid confusion and that it withdraw the example Forms CRS that it included in the … Continue reading

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NASAA’s Proposed FDD Cover Page Changes: Helpful or Misleading?

The North American Securities Administrators Association, Inc. (“NASAA”) is proposing to revise the instructions in the NASAA Franchise Registration and Disclosure Guidelines (the “Guidelines”) that outline policies and procedures regarding the preparation of a franchise disclosure document (“FDD”). Specifically, NASAA … Continue reading

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