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.

January 28, 2000

NASAA Comment Letter on the SEC Proposed Rule Regarding the Role of Independent Directors of Investment Companies

January 14, 2000

NASAA Comment Letter on the SEC Proposed Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers

January 6, 2000

NASAA Comment Letter on President Clinton’s Consumer Fraud Initiatives Directives

December 27, 1999

NASAA Comment Letter on the SEC Concept Release Regarding the Regulation of Short Sales of Securities

June 30, 1999

NASAA Comment Letter to SEC Regarding File No. S7-30-98, The Regulation of Securities Offerings, June 30, 1999

June 7, 1999

NASAA Comment Letter to SEC Regarding File No. S7-5-99, Publication or Submission of Quotations Without Specified Information, June 7, 1999

May 28, 1999

NASAA Day Trading Project Group Comment Letter on NASDR Proposed Rules Regarding Approval Procedures for Day Trading Accounts

December 9, 1998

Re-Proposed Books and Records Requirements as Amendments to Rules 17a-3 and 17a-4 of the Securities Exchange Act of 1934 1997

January 29, 1997

Public Availability of Information about Consumers Letter to Federal Reserve

December 12, 1996

Books and Records Comment Letter to SEC