Comment Letters

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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

April 27, 2012

NASAA comment letter to FINRA in response to Regulatory Notice 12-10

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