Comment Letters

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January 28, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 24-13, Retrospective Rule Review: Day Trading

January 21, 2025

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2024-022, Proposed Changes to FINRA’s Arbitration Codes Regarding Arbitrator Selection

July 22, 2024

NASAA Comment Letter Regarding S7-2024-02 and FINCEN-2024-0011, Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers

June 7, 2024

NASAA Comment Letter to PCAOB Regarding Rulemaking Docket Matter No. 055, Firm Reporting.

April 12, 2024

NASAA Comment Letter Regarding FINCEN-2024-0006, Anti-Money Laundering Proposal for SEC Investment Advisers

April 3, 2024

NASAA Comment Letter Regarding PCAOB Rulemaking No. 054 False or Misleading Statements Concerning PCAOB Registration and Oversight

February 12, 2024

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2024-001, Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)

January 2, 2024

NASAA Comment Letter to the DOL Regarding Retirement Security Rule: Definition of an Investment Advice Fiduciary

November 13, 2023

NASAA Comment Letter Regarding PCAOB Rulemaking No. 053, Liability for Associated Persons who Contribute to a Primary PCAOB Rule Violation

October 10, 2023

NASAA Comment Letter to the SEC Regarding File No. S7-12-23, Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers