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.

March 10, 2003

NASAA Comments on SRO Proposed Amendments to Rules Concerning Analyst Conflicts of Interest

February 18, 2003

Letter to the SEC Supporting NASD and NYSE Proposals to Expressly Allow State-Registered Investment Advisers to Receive and Vote Proxies on Behalf of Their Clients

January 6, 2003

NASAA Comment Letter Regarding NASD Notice to Members 02-74, Public Information Review

December 12, 2002

NASAA Comment Letter Regarding SEC Release No: 34-46745: “Proposed Rule: 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”

September 23, 2002

NASAA Comment Letter Regarding Release Nos. 33-8119; 34-46301, Proposed Rule for Regulation Analyst Certification

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”

Share on Facebook

Share on LinkedIn