Comment Letters

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November 17, 2011

NASAA comment letter to FINRA regarding private placements of securities, File No. SR-FINRA-2011-057


July 25, 2011

NASAA Comment Letter to SEC Regarding Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings. Release No. 33-9211, File No. S7-21-11


July 11, 2011

NASAA comment letter to the SEC regarding Release No. IA-3198; File No. S7-17-11 on Investment Adviser Performance Compensation


June 21, 2011

NASAA comment letter to the SEC in response to the Section 917 study of effective existing investor education programs; File number 4-626, Release number 34-64306


May 2, 2011

NASAA Comment letter to the SEC in response to FINRA’s proposal to implement a registration requirement for operations professionals. SEC file number SR-FINRA-2011-013


March 15, 2011

NASAA comment letter to the Department of Labor regarding proposed rule: modernization of the definition of a fiduciary under ERISA, Release No. RIN 1210-AB32


March 15, 2011

NASAA comment letter to FINRA regarding markups, commissions and fees, FINRA Regulatory Notice 11-08


March 15, 2011

NASAA comment letter to SEC regarding permanent rule for registration of municipal advisors, SEC File Number S7-45-10, Release No. 34-63576


March 10, 2011

NASAA comment letter to SEC regarding Net Worth Standard for Accredited Investors, Release Nos. 33-9177; IA-3144; IC-29572; File No. S7-04-11


February 10, 2011

NASAA Comments in Response to Release No. IA-3110 (File No.S7-36-10) and Release No.IA-3111 (File No.S7-37-10)






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