Comment Letters

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March 15, 2011

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

March 15, 2011

NASAA comment letter to SEC regarding permanent rule for registration of municipal advisors, SEC File Number S7-45-10, Release No. 34-63576

March 10, 2011

NASAA comment letter to SEC regarding Net Worth Standard for Accredited Investors, Release Nos. 33-9177; IA-3144; IC-29572; File No. S7-04-11

February 10, 2011

NASAA Comments in Response to Release No. IA-3110 (File No.S7-36-10) and Release No.IA-3111 (File No.S7-37-10)

November 22, 2010

NASAA Comment Letter to SEC Regarding SEC Study on Enhancing Investment Adviser Examinations under Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

November 4, 2010

NASAA Comment Letter to SEC Regarding Adding Disqualification Requirements to Regulation D Offerings, Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, File No. DF Title IX – Regulation D Disqualification

November 4, 2010

NASAA Comment Letter to SEC Regarding Accredited Investor Standard, Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, File No. DF Title IV – Accredited Investor

September 9, 2010

NASAA Comments on Release No. 34-62718; File No. SR-FINRA-2010-039

August 30, 2010

NASAA Comment Letter to the SEC Regarding Obligations of Brokers, Dealers and Investment Advisers

August 25, 2010

NASAA Comment Letter to SEC regarding FINRA proposal to amend the Discovery Guide used in FINRA arbitrations