Corporation Finance Comment Letters
06/22/04
NASAA Comment to the SEC Regarding the Use of Forms S-8 and 8-K by Shell Companies
03/21/04
NASAA Comment Regarding the SEC`s Proposed Rules to Facilitate Shareholder Nominations to Corporate Boards
03/15/04
NASAA Comment Regarding the SEC`s Proposal to Require Investment Advisers to Adopt a Written Code of Ethics
03/12/04
NASAA Comment Letter Regarding Proposed Amendments to NASD Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs)
03/10/04
NASAA Comment Letter Regarding Proposed SEC Rule to Change the Composition of Mutual Fund Boards of Directors
03/05/04
NASAA Comment Regarding the SEC`s Concept Release on Measures to Improve Disclosure of Mutual Fund Transaction Costs
02/27/04
NASAA Comment Letter Regarding Proposed SEC Mutual Fund Breakpoint Disclosure Rule
02/13/04
NASAA Comment Letter Regarding SEC File No. SR-NASD-2004-05, Proposed Amendment to NASD Rule 2370, Agents Borrowing or Lending Money from Customers
01/26/04
NASAA Comment Letter Regarding NASD Proposed Rule Governing Allocations and Distributions of Shares in IPOs
12/18/03
NASAA Comment Letter Regarding SEC File No. SR-NYSE-2002-33, NYSE Proposed Amendments to Listed Company Manual on Corporate Governance
1/10/02
NASAA Comment Letter Regarding Proposed Amendments to the FTC Trade Regulation Rule, “Disclosure Requirements and Prohibitions Concerning Franchising and Business Opportunity Ventures”
