Comment Letters

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August 6, 2013

NASAA Comment Letter to the SEC Regarding the Proposed Rule Change to Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook. Release No. 34-69902; File No. SR-FINRA-2013-025

June 5, 2013

NASAA Comment Letter to SEC Regarding Framework for Rulemaking under Section 913 of the Dodd-Frank Act; Duties of Brokers, Dealers and Investment Advisers; File No. 4-606

June 4, 2013

Joint Letter to SEC Chairman Mary Jo White Concerning File Number 4-606 Duties of Brokers, Dealers, and Investment Advisers

May 3, 2013

NASAA Letter to SEC on Arbitration and Class Action Waivers

April 10, 2013

NASAA Comments on SEC Regulatory Initiatives under the Jumpstart Our Business Startups Act: Title IV – Small Company Capital Formation

March 5, 2013

NASAA comment letter to FINRA re: FINRA Rule Proposal 13-02 – Request for Comment on Recruitment Compensation Practices

February 15, 2013

NASAA Comment Letter to the SEC regarding Release No. 34-68700, File Number SR-FINRA-2013-002, a proposal to require all member firms and associated persons to include a prominent description of and link to their specific BrokerCheck page on their web sites, social media pages, and any comparable internet presence.

February 7, 2013

NASAA Comment Letter to the SEC regarding Release No. 34-68632; File No. SR-FINRA-2013-003 on the Proposal to Revise the definition of “Public Arbitrator”

October 3, 2012

NASAA Comment Letter to SEC Regarding Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A

August 20, 2012

NASAA Comment Letter to CFPB Regarding Senior Financial Exploitation