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.

September 23, 2002

NASAA Comment Letter Regarding NASD Notice to Members 02-55, Regulation of IPO Allocations and Distributions

August 21, 2002

NASAA Supplemental Comment Regarding Proposed Amendments To Investment Company Advertising Rules, File No. S7-17-02

April 18, 2002

NASAA Comment Letter Regarding SEC Release No. 34-45526, Research Analyst Conflicts of Interest

March 4, 2002

NASAA Comment Letter Regarding SEC Release No. 33-8041, Definition of Qualified Purchaser

January 8, 2002

NASAA Comment Letter Regarding Proposed Amendments to the FTC Trade Regulation Rule, “Disclosure Requirements and Prohibitions Concerning Franchising and Business Opportunity Ventures”

December 31, 2001

NASAA Comment Letter on Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository

November 23, 2001

NASAA Comment Letter on Proposed Changes to the CFP Board`s Code of Ethics and Professional Responsibility

August 15, 2001

NASAA Comment Letter on NASD Notice to Members 01-45

July 16, 2001

NASAA Comment Letter on the SEC Interim Final Rules for the Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934

April 4, 2001

NASAA Comment Letter to the CFTC Regarding Proposed Rule, “A New Regulatory Framework for Trading Facilities, Intermediaries and Clearing Organizations”