Registration Requirements

The following North American Securities Administrators Association (NASAA) Statements of Policy are in Adobe Acrobat.  Click on the link at the bottom to download a free copy of Acrobat Reader. 

Equity Filings: Statement of Policy Regarding Corporate Securities Definitions Statement of Policy Regarding The Impoundment of Proceeds Statement of Policy Regarding Loans and Other Material Affiliated Transactions Statement of Policy Regarding Options and Warrants Statement of Policy Regarding Preferred Stock Statement of Policy Regarding Promoter's Equity Investment Statement of Policy Regarding Promotional Shares Statement of Policy Regarding Specificity in Use of Proceeds Statement of Policy Regarding Underwriting Expenses, Underwriter's Warrants, Selling Expenses and Selling Security Holders Statement of Policy Regarding Unsound Financial Condition

 

Direct Participation Programs: Statement of Policy Regarding Registration of Oil & Gas Programs Statement of Policy Regarding Mortgage Program Guidelines Statement of Policy Regarding Real Estate Programs Statement of Policy Regarding Omnibus Guidelines Statement of Policy Regarding Registration of Commodity Pool Programs Statement of Policy Regarding Equipment Programs Statement of Policy Regarding Health Care Facility Offerings

 

Other: Statement of Policy Regarding Registration of Asset-Backed Securities Statement of Policy Regarding Church Bonds Statement of Policy Regarding Church Bonds - Cross Reference Sheet Statement of Policy Regarding Church Extension Fund Securities Statement of Policy Regarding Risk Disclosure Guidelines Statement of Policy Regarding Debt Securities Statement of Policy Regarding Guidelines for General Obligation Financing by Religious Denominations Statement of Policy Regarding Real Estate Investment Trusts Statement of Policy Regarding Unequal Voting Rights