Comment Letters

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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

August 15, 2012

NASAA Comment Letter to SEC Regarding Regulation D Rule 506 and General Solicitation

July 3, 2012

Initial NASAA Comments to SEC re JOBS Act Rulemaking

June 25, 2012

NASAA Comment Letter to the CFPB in response to Docket No. CFPB-2012-0017, Request for Information Regarding Scope, Methods, and Data Sources for Conducting Study of Pre-Dispute Arbitration Agreements

May 21, 2012

NASAA comment letter to FINRA in response to Regulatory Notice 12-18