Comment Letters

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October 26, 2007

NASAA Comment Letter Regarding Revisions of Limited Offering Exemptions in Regulation D, Release No. 33-9928, IC-27922; File No. S7-18-07

September 24, 2007

NASAA Comment Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates For Resales of Restricted Securities

September 17, 2007

NASAA Comment Letter on Smaller Reporting Company Relief and Simplification File No. S7-15-07

September 12, 2007

NASAA Comment Letter to the SEC regarding proposed revisions to Form D and the implementation of an electronic filing system for Form D as discussed in Release Nos. 33-8814 and 34-2466

June 18, 2007

NASAA Letter to SEC Regarding SEC Roundtable Discussion Regarding Mutual Recognition

April 24, 2007

Joint Letter to SEC Chairman Cox from NASAA, Consumer Federation of America, Fund Democracy, the Financial Planning Association, the Investment Adviser Association, and the National Association of Personal Financial Advisers

April 13, 2007

NASAA Comment Letter to SEC Regarding File No. S7-22-06, Proposed Regulation R

April 9, 2007

NASAA Comment Letter Regarding NASD’s Notice to Members 07-12

April 2, 2007

NASAA Comment Letter to SEC Regarding File No. S7-25-06 Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles; Securities Act Release No. 33-8766; Investment Advisers Act Release No. 2576, 72 FR 400 (Jan. 4, 2007)

December 21, 2006

NASAA Supplemental Comments on SEC Proposal Regarding Covered Securities Pursuant to Section 18 of the Securities Act of 1933, Securities Act Release No. 8754, 71 FR 67762