Comment Letters

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January 6, 2004

Proposed New Definition of “Branch Office” Under NASD Rule 3010(g)(2), 1/7/2004

January 5, 2004

NASAA Comment Letter Regarding SEC Release No. 34-48709, Short Sales: Proposed Rule

December 18, 2003

NASAA Comment Letter Regarding SEC File No. SR-NYSE-2002-33, NYSE Proposed Amendments to Listed Company Manual on Corporate Governance

December 4, 2003

NASAA Supplemental Comment to the SEC Regarding Hedge Fund Solicitation and Advertising

October 30, 2003

NASAA comments on the proposed changes to AIMR’s Code of Ethics and Standards of Professional Responsibility

October 3, 2003

NASAA Comment Letter Regarding SEC File No. SR-NASD-98-74, NASD Proposal to Amend Rule 3110(f), Governing Use of Predispute Arbitration Agreements with Customers

July 23, 2003

NASAA Comment Letter Regarding SEC File No. SR-NASD-2003-92, NASD Proposed Rule 2370, Borrowing or Lending from Customers

July 8, 2003

NASAA Comment Letter Regarding SEC File No. 4-476, Request for Comment on Hedge Funds

June 4, 2003

NASAA Comment Letter Regarding SEC Proposed Rule 2130 Concerning the Expungement of Customer Dispute Information from CRD

April 18, 2003

NASAA Comment Letter Regarding SEC Proposed Rule on Compliance Programs of Investment Companies and Investment Advisers, File No. S7-03-03, Release Nos. IC-25925, IA-2107