Comment Letters

Home > Policy > Regulatory Policy > Comment Letters

If the comment or correspondence letter you are looking for is not here, please get in touch with us.

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

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