Comments on Rulemaking Petition: Request for rulemaking under the Securities Act of 1933 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 Act

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Date Sort descending	Letter Type	Commenter Name
June 1, 2006	Public Comment	Randall Schumann, Legal Counsel, Wisconsin DFI-Division of Securities, NASAA Corporation Finance Section Member
April 3, 2006	Public Comment	Alan M. Parness, Vice Chair, State Regulation of Securities Committee, Section of Business Law, American Bar Association, Chicago, Illinois
March 29, 2006	Public Comment	Patricia D. Struck, President, North American Securities Administrator's Association, and Wisconsin Securities Administrator

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-513