Comment Letters

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August 22, 2014

NASAA Comment Letter in Response to Proposed Rule change SR-FINRA-2014-006 affecting NASD Rule 2340 and FINRA Rule 2310

July 24, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-72491; File Number SR-FINRA-2014-028 relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

July 23, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-72479, File Number SR-FINRA-2014-026 relation to the Increase of Arbitrator Honoraria and the Increase of Certain Arbitration Fees

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