Comment Letters
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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
NASAA Comment Letter to the SEC Regarding Proposed Amendment to FINRA Rule 8312 Expanding the Scope of FINRA’s Public Disclosure System, BrokerCheck
August 21, 2009
NASAA Comment Letter on Proposed Rule Change Petition Submitted by the Public Investors Arbitration Bar Association (PIABA)
August 14, 2009
NASAA comment on Release No. IA-2876, File No. S7-09-09, “Custody of Funds or Securities of Clients by Investment Advisers
August 14, 2009
NASAA comment letter regarding the Financial Industry Regulatory Authority’s (FINRA) proposed rule consolidation for NASD Rule 2310 and NYSE 405
June 29, 2009
