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.

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

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