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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

October 18, 2004

NASAA Comment on SEC Proposal to Require Registration of Hedge Fund Advisers

October 6, 2004

Further NASAA Comment to the SEC Regarding its Proposed Rule on When Certain Broker-Dealers are Deemed Not to be Investment Advisers

August 24, 2004

NASAA Comment to the NASD Regarding Proposed Rule Governing the Purchase, Sale, or Exchange of Deferred Variable Annuities

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