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Registration Requirements
 
The following North American Securities Administrators Association (NASAA) Statements of Policy are in Adobe Acrobat.
 
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
 
For questions, please contact our Registrations Division at (405) 280-7700, and select option 2. You may also submit your question in writing.