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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

December 12, 2013

NASAA Comment Letter to SEC Regarding Regulation A+

November 5, 2013

NASAA Comment Letter Regarding SEC Release No. 34-706012, File No. SR-FINRA-2013-025, Concerning FINRA’s Proposed Changes to its Supervision Rules.

September 27, 2013

NASAA Comment Letter to the SEC Regarding the Proposed Amendments to Regulation D, Form D and Rule 156

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

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