Comment Letters

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June 27, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-72196; File No. SR-FINRA-2014-005

June 20, 2014

NASAA Comment Letter to FINRA in Response to Regulatory Notice 14-19

June 6, 2014

NASAA Comment Letter to SEC Regarding Investment Company Advertising: Target Date Retirement Fund Names and Marketing

May 14, 2014

NASAA Comment Letter to SEC Regarding SEC Release No. 34-71959; File No. SR-FINRA-2014-020 – Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)

March 24, 2014

NASAA Comment Letter to SEC Regarding Regulation A Rulemaking

March 21, 2014

NASAA Comment Letter to FINRA Regarding Comprehensive Automated Risk Data System Regulatory Notice 13-42

February 19, 2014

NASAA Leadership Letter to SEC Objecting to State Preemption of Reg A+ Offerings

February 3, 2014

NASAA Comment Letter to SEC Regarding Regulation Crowdfunding

February 3, 2014

NASAA Comment Letter to FINRA on Proposed Funding Portal Rules

December 13, 2013

NASAA Comment Letter to SEC Regarding FINRA Proposal to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck