Comment Letters

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August 11, 2015

NASAA Comment Letter to SEC Regarding Amendments to Form ADV and Investment Advisers Act Rules; Release No. IA-4091; File No. S7-09-15

August 3, 2015

NASAA Comment Letter to SEC Regarding the regarding the Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public)

July 21, 2015

NASAA Comment Letter to SEC Regarding Framework for Rulemaking under Section 913 of the Dodd-Frank Act; Duties of Brokers, Dealers and Investment Advisers; File No. 4-606

July 21, 2015

NASAA Letter to the Department of Labor Regarding its Proposed Rulemaking Defining the Term “Fiduciary”

June 13, 2015

NASAA Comment Letter to FINRA Regarding FINRA Regulatory Notice 15-19, a Proposed Rule Requiring Delivery of an Educational Communication to Customers of Transferring Registered Representatives

April 17, 2015

NASAA Comment Letter to SEC Regarding Release 34-74488, FINRA’s Amended Proposal Regarding Equity Research Analysts

April 17, 2015

NASAA Comment Letter to SEC Regarding Release 34-74490, FINRA’s Amended Proposal Regarding Debt Research Analysts

March 30, 2015

NASAA Letter to FINRA Dispute Resolution Task Force on FINRA Arbitration

February 11, 2015

NASAA Comment Letter to SEC Updating the Commission on the Implementation and Progress of the NASAA Coordinated Review Program for Regulation A Offerings

December 19, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-73622, FINRA’s proposed rule regarding equity research analysts