Comment Letters

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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”

February 12, 2001

NASAA Comment Letter on NASD Notice to Members 0106 – Member Facilitations of Lending between Customers

October 10, 2000

NASAA Comment Letter to the Federal Trade Commission Regarding Gramm-Leach-Bliley Act Privacy Safeguards Rule, 16 CFR Part 313-Comment

June 30, 2000

NASAA Comment Letter on the Proposed Rule and Form Amendments under the Securities Act of 1933 and the Investment Company Act of 1940 to Improve Disclosure to Investors of the Effect of Taxes on the Performance of Mutual Fund Companies

May 30, 2000

Telemarketing Sales Rule Comment Letter to the Federal Trade Commission

May 12, 2000

NASAA Comment Letter on Issues Relating to Market Fragmentation, SEC Release No.34-42450; File No. SR-NYSE-99-48

April 28, 2000

NASAA Comment Letter on Selective Disclosure and Insider Trading; SEC Release No. IC-24209; File No. S7-31-99

March 31, 2000

NASAA Comment Letter to the FTC on Gramm-Leach-Bliley Act Privacy Rule, 16 CFR Part 313

March 31, 2000

NASAA Comment Letter on SEC Regulation S-P: Privacy of Consumer Financial Information, Release Nos. 34-42484,IC-24326, IA-1856; File No. S7-6-00

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