Statement

Summary of Policy

Date

View

Statement of procedure regarding certain Securities Division’s time-frame rules

July 16, 1998

View

Shelf registrations

August 22, 1991

View

Guarantees/letters of credit

January 21, 1991

View

Form U-1 registration applications

April 3, 1987

View

Advertising materials

April 3, 1987

View

1985 amendments to Rules R14-4-101—103 of the Securities Division

Winter 1986

View

Registered issuers—reporting requirement

April 22, 1985

View

Zero coupon bonds

Spring 1985

View

NASAA Statements of Policy

November 27, 1984

View

Sales of commodities—what constitutes security

Fall 1983

View

Inquiries concerning pending registrations and no-action requests

September 18, 1981

View

Applications to register convertible securities, assessment options, warrants, or other rights to subscribe to securities

n/a