NASAA Proposed Web Based Investment Advisor Registration Depository


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Comment Period Expires August 21, 2000

By John M. Baker, Esq.

The North American Securities Administrators Association (NASAA) has released for public comment proposed amendments to the Uniform Securities Act and the NASAA Model Rules concerning states’ implementation of the Web Investment Adviser Registration Depository (Web IARD).

The proposal is generally similar to the pending SEC proposal, although there are some minor differences.

The comment period will remain open through August 21, 2000.

The NASAA proposal is available at

Copyright 2000, John M. Baker, Esq., Stradley, Ronon, Stevens & Young, LLP, 1220 19th Street, N.W., Suite 700, Washington, DC 20036 – (202) 822-9611- Fax (202) 822-0140 This article was originally posted to the FundLaw List, To subscribe to FundLaw, send a blank e-mail to

Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article.

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Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.

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