Comment Letters

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March 10, 2026

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-02, Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud.

February 24, 2026

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-001, Proposed Rule Change to Adopt Rule 3290 (Outside Activities Requirements).

February 4, 2026

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2025-017, Proposed Changes to FINRA’s Day Trading Margin Requirements

July 14, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 25-07: Supporting Modern Member Workplaces.

June 11, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 25-04, Rule Modernization, and Regulatory Notice 25-06, Supporting Capital Formation.

May 27, 2025

NASAA’s Principles for SEC Crypto-Asset Regulation

May 13, 2025

NASAA Comment Letter to FINRA Regarding Regulatory Notice 25-05, Outside Activities

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