Comment Letters
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July 13, 2010
NASAA Letter to SEC Regarding Application for Investment Adviser Registration, Part 2 (Form ADV, Part 2)
March 4, 2010
NASAA Comment Letter to the SEC Regarding Comments to Securities Exchange Act Release No. 60999 File No. SR-FINRA-2009-077
March 1, 2010
NASAA Comment Letter to FINRA Regarding Regulatory Notice 09-70 – Registration and Qualification Requirements
February 16, 2010
NASAA Comment Letter to the SEC Regarding Amendments to Credit Rating Agencies Release No. 34-61051; File No. S7-28-09; Release No. 33-9070; File No. S7-24-09
February 16, 2010
NASAA Comment Letter to FINRA Regarding Proposed Amendments Governing Payments to Unregistered Persons; Regulatory Notice 09-69
February 16, 2010
NASAA Comment Letter to the SEC Regarding Amendments to Dark Pools; Release No. 34-60997; File No. S7-27-09
September 8, 2009
