Comment Letters

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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

NASAA Comment Letter to SEC Regarding File No. S7-08-09, Amendments to Regulation SHO, June 29, 2009

April 15, 2009

NASAA Comment Letter to SEC Regarding File No. SR-FINRA-2009-008, April 15, 2009

September 12, 2008

NASAA Comment Letter Regarding Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information, File No. S7-06-08

September 10, 2008

NASAA Comments on the SEC’s Proposed Rule That Would Subject Certain Equity-Indexed Annuities to Regulation Under the Federal Securities Laws

May 27, 2008

NASAA Comment Letter to FINRA Regarding Regulatory Notice 08-20, Proposed Changes to Forms U4 and U5, May 27, 2008

May 16, 2008

NASAA Comment Letter on Proposed Rule and Form Amendments to Part 2 of Form ADV

April 24, 2008

NASAA Comment on FINRA Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure To Establish New Procedures for Arbitrators To Follow When Considering Requests for Expungement Relief

April 17, 2008

NASAA Comment Letter to the SEC Release No. 34-57525; File No. SR-FINRA-2008-005 Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Permit Submissions to Arbitrators After a Case has Closed Under Limited Circumstances

November 30, 2007

NASAA Comment Letter Regarding Treasury Department Review of the Regulatory Structure Associated with Financial Institutions