Comment Letters

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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

April 8, 2003

NASAA Comment Letter to the OCC Regarding Docket No. 03-02. Proposed Rulemaking, 12 CFR 7.4000, Visitorial Powers

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

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