Comment Letters

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April 23, 2012

NASAA comment letter to the SEC in response to FINRA’s Partial Amendment of SR-FINRA 2011-057. Release No. 34-66203

April 11, 2012

NASAA comment letter to FINRA in response to Regulatory Notice 12-14

November 18, 2011

NASAA comment letter to FINRA in response to Regulatory Notice 11-44 regarding DPP offerings

November 17, 2011

NASAA comment letter to FINRA regarding private placements of securities, File No. SR-FINRA-2011-057

July 25, 2011

NASAA Comment Letter to SEC Regarding Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings. Release No. 33-9211, File No. S7-21-11

July 11, 2011

NASAA comment letter to the SEC regarding Release No. IA-3198; File No. S7-17-11 on Investment Adviser Performance Compensation

June 21, 2011

NASAA comment letter to the SEC in response to the Section 917 study of effective existing investor education programs; File number 4-626, Release number 34-64306

May 2, 2011

NASAA Comment letter to the SEC in response to FINRA’s proposal to implement a registration requirement for operations professionals. SEC file number SR-FINRA-2011-013

March 15, 2011

NASAA comment letter to the Department of Labor regarding proposed rule: modernization of the definition of a fiduciary under ERISA, Release No. RIN 1210-AB32

March 15, 2011

NASAA comment letter to FINRA regarding markups, commissions and fees, FINRA Regulatory Notice 11-08