Comment Letters

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December 19, 2014

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

December 12, 2014

NASAA Comment Letter to FINRA in Response to Regulatory Notice 14-50 (proposed “pay-to-play” rules)

November 7, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-73277, File Number SR-FINRA-2014-028 relating to definition of public and non-public arbitrators

October 31, 2014

NASAA Comment Letter to FINRA Regarding Regulatory Notice 14-35 (Account Statements)

October 22, 2014

NASAA Comment Letter Regarding Release No. 34-73238, File Number SR-FINRA-2014-038

October 22, 2014

NASAA Comment Letter to FINRA Regarding Release No. 34-73210, File No. SR-FINRA-2014-037 (Payments to Unregistered Persons)

August 22, 2014

NASAA Comment Letter in Response to Proposed Rule change SR-FINRA-2014-006 affecting NASD Rule 2340 and FINRA Rule 2310

July 24, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-72491; File Number SR-FINRA-2014-028 relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

July 23, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-72479, File Number SR-FINRA-2014-026 relation to the Increase of Arbitrator Honoraria and the Increase of Certain Arbitration Fees

June 27, 2014

NASAA Comment Letter to SEC Regarding Release No. 34-72196; File No. SR-FINRA-2014-005