Comment Letters

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November 22, 2010

NASAA Comment Letter to SEC Regarding SEC Study on Enhancing Investment Adviser Examinations under Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

November 4, 2010

NASAA Comment Letter to SEC Regarding Adding Disqualification Requirements to Regulation D Offerings, Title IX Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, File No. DF Title IX – Regulation D Disqualification

November 4, 2010

NASAA Comment Letter to SEC Regarding Accredited Investor Standard, Title IV Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, File No. DF Title IV – Accredited Investor

September 9, 2010

NASAA Comments on Release No. 34-62718; File No. SR-FINRA-2010-039

August 30, 2010

NASAA Comment Letter to the SEC Regarding Obligations of Brokers, Dealers and Investment Advisers

August 25, 2010

NASAA Comment Letter to SEC regarding FINRA proposal to amend the Discovery Guide used in FINRA arbitrations

August 23, 2010

NASAA Comment Letter to the SEC Regarding Target Date Retirement Fund Names and Marketing

July 30, 2010

Registration and Qualification Requirements for Certain Operations Personnel

July 13, 2010

NASAA Letter to SEC Regarding Application for Investment Adviser Registration, Part 2 (Form ADV, Part 2)

March 4, 2010

NASAA Comment Letter to the SEC Regarding Comments to Securities Exchange Act Release No. 60999 File No. SR-FINRA-2009-077