Comment Letters

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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

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