Comment Letters

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April 13, 2007

NASAA Comment Letter to SEC Regarding File No. S7-22-06, Proposed Regulation R

April 9, 2007

NASAA Comment Letter Regarding NASD’s Notice to Members 07-12

April 2, 2007

NASAA Comment Letter to SEC Regarding File No. S7-25-06 Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles; Securities Act Release No. 33-8766; Investment Advisers Act Release No. 2576, 72 FR 400 (Jan. 4, 2007)

December 21, 2006

NASAA Supplemental Comments on SEC Proposal Regarding Covered Securities Pursuant to Section 18 of the Securities Act of 1933, Securities Act Release No. 8754, 71 FR 67762

December 21, 2006

NASAA Comment on SEC Proposal Regarding Covered Securities Pursuant to Section 18 of the Securities Act of 1933, Securities Act Release No. 8754, 71 FR 67762

October 4, 2006

NASAA Comments on Amendments to Regulation SHO

September 8, 2006

NASAA Comment to the SEC Regarding Proposed Regulation B

July 30, 2006

NASAA Comments on File No. SR-NASD-2003-168; Notice of Filing of Amendment Nos. 4 and 5 of the Proposed Rule Change Relating to the Release of Information Through NASD BrokerCheck

May 22, 2006

NASAA Comment Letter to MSRB Regarding “Customer Protection Obligations Relating to the Marketing of 529 College Savings Plans” Proposed Intrepretive Guidance

March 29, 2006

NASAA Comment Letter on NASDAQ Petition to Amend Rule 146(b) to Designate Securities Listed on the NASDAQ Capital Market as Covered Securities for the Purpose of Section 18 of the Securities Act of 1933 Rulemaking Petition File No. 4-5 13