Comment Letters
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February 11, 2015
NASAA Comment Letter to SEC Updating the Commission on the Implementation and Progress of the NASAA Coordinated Review Program for Regulation A Offerings
December 19, 2014
NASAA Comment Letter to SEC Regarding Release No. 34-73622, FINRA’s proposed rule regarding equity research analysts
December 19, 2014
NASAA Comment Letter to SEC Regarding Release No. 34-73622, FINRA’s proposed rule regarding equity research analysts
December 12, 2014
NASAA Comment Letter to FINRA in Response to Regulatory Notice 14-50 (proposed “pay-to-play” rules)
November 7, 2014
NASAA Comment Letter to SEC Regarding Release No. 34-73277, File Number SR-FINRA-2014-028 relating to definition of public and non-public arbitrators
October 31, 2014
