Comment Letters

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December 21, 2006

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

October 4, 2006

NASAA Comments on Amendments to Regulation SHO

September 8, 2006

NASAA Comment to the SEC Regarding Proposed Regulation B

July 30, 2006

NASAA Comments on File No. SR-NASD-2003-168; Notice of Filing of Amendment Nos. 4 and 5 of the Proposed Rule Change Relating to the Release of Information Through NASD BrokerCheck

May 22, 2006

NASAA Comment Letter to MSRB Regarding “Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans” Proposed Intrepretive Guidance

March 29, 2006

NASAA Comment Letter on NASDAQ Petition to Amend Rule 146(b) to Designate Securities Listed on the NASDAQ Capital Market as Covered Securities for the Purpose of Section 18 of the Securities Act of 1933 Rulemaking Petition File No. 4-5 13

September 19, 2005

NASAA Comment on Proposed Rule Governing Purchase, Sale, or Exchange of Deferred Variable Annuities

September 13, 2005

NASAA Comment on NASD Proposed Rule Change to Require Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons

July 12, 2005

NASAA Comment on Proposed Uniform Branch Office Registration Form (Form BR); Release No. 34-51742; File No. SR-NASD-2005-30

November 15, 2004

NASAA Comment to the FTC Regarding the Franchise Rule Staff Report on the FTC`s Trade Regulation Rule on Disclosure Requirements and Prohibitions Concerning Franchising