Comment Letters
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March 1, 2010
NASAA Comment Letter to FINRA Regarding Regulatory Notice 09-70 – Registration and Qualification Requirements
February 16, 2010
NASAA Comment Letter to the SEC Regarding Amendments to Credit Rating Agencies Release No. 34-61051; File No. S7-28-09; Release No. 33-9070; File No. S7-24-09
February 16, 2010
NASAA Comment Letter to FINRA Regarding Proposed Amendments Governing Payments to Unregistered Persons; Regulatory Notice 09-69
February 16, 2010
NASAA Comment Letter to the SEC Regarding Amendments to Dark Pools; Release No. 34-60997; File No. S7-27-09
September 8, 2009
NASAA Comment Letter to the SEC Regarding Proposed Amendment to FINRA Rule 8312 Expanding the Scope of FINRA’s Public Disclosure System, BrokerCheck
August 21, 2009
NASAA Comment Letter on Proposed Rule Change Petition Submitted by the Public Investors Arbitration Bar Association (PIABA)
August 14, 2009
NASAA comment on Release No. IA-2876, File No. S7-09-09, “Custody of Funds or Securities of Clients by Investment Advisers
August 14, 2009
