Comment Letters
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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
August 23, 2010
NASAA Comment Letter to the SEC Regarding Target Date Retirement Fund Names and Marketing
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
Washington, DC 20002
