https://www.nasaa.org/comment-letters/ 2026-07-29T14:57:36+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-the-department-of-labor-regarding-its-proposed-rulemaking-defining-the-term-fiduciary-3/ 2019-05-14T17:26:00+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-release-no-34-73622-finras-proposed-rule-regarding-equity-research-analysts/ 2019-05-14T19:48:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-obligations-of-brokers-dealers-and-investment-advisers/ 2019-05-15T19:33:56+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-the-financial-industry-regulatory-authoritys-finra-proposed-rule-consolidation-for-nasd-rule-2310-and-nyse-405/ 2019-05-15T19:58:26+00:00 https://www.nasaa.org/comment-letters/nasaa-supplemental-comment-letter-regarding-sec-proposed-rule-on-compliance-programs-of-investment-companies-and-investment-advisers-file-no-s7-03-03-release-nos-ic-26299-ia-2204/ 2019-05-16T16:34:42+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-nasd-proposed-rule-governing-allocations-and-distributions-of-shares-in-ipos/ 2019-05-16T17:05:21+00:00 https://www.nasaa.org/comment-letters/proposed-new-definition-of-branch-office-under-nasd-rule-3010g2-1-7-2004/ 2019-05-16T17:23:48+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-34-48709-short-sales-proposed-rule/ 2019-05-16T17:24:26+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-file-no-sr-nyse-2002-33-nyse-proposed-amendments-to-listed-company-manual-on-corporate-governance/ 2019-05-16T17:28:36+00:00 https://www.nasaa.org/comment-letters/nasaa-supplemental-comment-to-the-sec-regarding-hedge-fund-solicitation-and-advertising/ 2019-05-16T17:33:08+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-on-the-proposed-changes-to-aimrs-code-of-ethics-and-standards-of-professional-responsibility/ 2019-05-16T17:34:35+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-file-no-sr-nasd-98-74-nasd-proposal-to-amend-rule-3110f-governing-use-of-predispute-arbitration-agreements-with-customers/ 2019-05-16T17:36:47+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-file-no-sr-nasd-2003-92-nasd-proposed-rule-2370-borrowing-or-lending-from-customers/ 2019-05-16T17:37:41+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-file-no-4-476-request-for-comment-on-hedge-funds/ 2019-05-16T17:41:06+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-proposed-rule-2130-concerning-the-expungement-of-customer-dispute-information-from-crd/ 2019-05-16T17:43:33+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-proposed-rule-on-compliance-programs-of-investment-companies-and-investment-advisers-file-no-s7-03-03-release-nos-ic-25925-ia-2107/ 2019-05-16T17:53:32+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-occ-regarding-docket-no-03-02-proposed-rulemaking-12-cfr-7-4000-visitorial-powers/ 2019-05-16T17:54:22+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-on-sro-proposed-amendments-to-rules-concerning-analyst-conflicts-of-interest/ 2019-05-16T17:55:12+00:00 https://www.nasaa.org/comment-letters/letter-to-the-sec-supporting-nasd-and-nyse-proposals-to-expressly-allow-state-registered-investment-advisers-to-receive-and-vote-proxies-on-behalf-of-their-clients/ 2019-05-16T17:56:01+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-nasd-notice-to-members-02-74-public-information-review/ 2019-05-16T17:57:26+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-34-46745-proposed-rule-definition-of-terms-in-and-specific-exemptions-for-banks-savings-associations-and-savings-banks-under-sections-3a4/ 2019-05-16T17:58:34+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-nasd-notice-to-members-02-55-regulation-of-ipo-allocations-and-distributions/ 2019-05-16T18:01:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-release-nos-33-8119-34-46301-proposed-rule-for-regulation-analyst-certification/ 2019-05-16T18:01:57+00:00 https://www.nasaa.org/comment-letters/nasaa-supplemental-comment-regarding-proposed-amendments-to-investment-company-advertising-rules-file-no-s7-17-02/ 2019-05-16T18:09:10+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-33-8041-definition-of-qualified-purchaser/ 2019-05-16T18:10:31+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-proposed-amendments-to-the-ftc-trade-regulation-rule-disclosure-requirements-and-prohibitions-concerning-franchising-and-business-opportunity-ventures/ 2019-05-16T18:11:34+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-proposed-rules-and-policies-relating-to-expungement-of-information-from-the-central-registration-depository/ 2019-05-16T18:17:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-proposed-changes-to-the-cfp-boards-code-of-ethics-and-professional-responsibility/ 2019-05-16T18:22:27+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-nasd-notice-to-members-01-45/ 2019-05-16T18:24:10+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-the-sec-interim-final-rules-for-the-definition-of-terms-in-and-specific-exemptions-for-banks-savings-associations-and-savings-banks-under-sections-3a4-and-3a5-of-the/ 2019-05-16T18:34:38+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-cftc-regarding-proposed-rule-a-new-regulatory-framework-for-trading-facilities-intermediaries-and-clearing-organizations/ 2019-05-16T18:35:39+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-nasd-notice-to-members-0106-member-facilitations-of-lending-between-customers/ 2019-05-16T18:36:42+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-federal-trade-commission-regarding-gramm-leach-bliley-act-privacy-safeguards-rule-16-cfr-part-313-comment/ 2019-05-16T18:37:31+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-the-proposed-rule-and-form-amendments-under-the-securities-act-of-1933-and-the-investment-company-act-of-1940-to-improve-disclosure-to-investors-of-the-effect-of-taxes-on-the-p/ 2019-05-16T18:38:10+00:00 https://www.nasaa.org/comment-letters/telemarketing-sales-rule-comment-letter-to-the-federal-trade-commission/ 2019-05-16T18:38:53+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-issues-relating-to-market-fragmentation-sec-release-no-34-42450-file-no-sr-nyse-99-48/ 2019-05-16T18:39:24+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-selective-disclosure-and-insider-trading-sec-release-no-ic-24209-file-no-s7-31-99/ 2019-05-16T18:40:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-sec-regulation-s-p-privacy-of-consumer-financial-information-release-nos-34-42484ic-24326-ia-1856-file-no-s7-6-00/ 2019-05-16T18:40:45+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-ftc-on-gramm-leach-bliley-act-privacy-rule-16-cfr-part-313/ 2019-05-16T18:41:44+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-recent-proposed-amendments-to-nasd-rules-2360-and-2361-relating-to-the-opening-of-day-trading-accounts/ 2019-05-16T18:42:30+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-the-sec-proposed-rule-change-regarding-unlisted-trading-privileges-in-regard-to-initial-public-offerings/ 2019-05-16T18:43:36+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-the-sec-proposed-rule-regarding-the-role-of-independent-directors-of-investment-companies/ 2019-05-16T18:44:21+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-the-sec-proposed-rule-certain-broker-dealers-deemed-not-to-be-investment-advisers/ 2019-05-16T18:45:03+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-president-clintons-consumer-fraud-initiatives-directives/ 2019-05-16T18:45:39+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-the-sec-concept-release-regarding-the-regulation-of-short-sales-of-securities/ 2019-05-16T18:46:57+00:00 https://www.nasaa.org/comment-letters/nasaa-day-trading-project-group-comment-letter-on-nasdr-proposed-rules-regarding-approval-procedures-for-day-trading-accounts/ 2019-05-16T18:47:32+00:00 https://www.nasaa.org/comment-letters/re-proposed-books-and-records-requirements-as-amendments-to-rules-17a-3-and-17a-4-of-the-securities-exchange-act-of-1934-1997/ 2019-05-16T18:48:11+00:00 https://www.nasaa.org/comment-letters/public-availability-of-information-about-consumers-letter-to-federal-reserve/ 2019-05-16T18:48:55+00:00 https://www.nasaa.org/comment-letters/books-and-records-comment-letter-to-sec/ 2019-05-16T18:49:35+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-34-45526-research-analyst-conflicts-of-interest/ 2019-05-16T18:56:55+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-release-no-34-73210-file-no-sr-finra-2014-037-payments-to-unregistered-persons/ 2021-03-16T16:19:00+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-rule-15c2-11-and-the-piggyback-exception/ 2022-02-04T20:01:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-concept-release-on-exempt-securities-offerings/ 2022-02-04T20:03:40+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-19-27-seniors-retrospective-rule-review/ 2022-02-04T20:05:25+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-virginia-corporation-commission-supporting-proposed-regulations-prepared-by-the-virginia-division-of-securities/ 2022-02-04T20:06:26+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-massachusetts-securities-division-regarding-fiduciary-duty-preliminary-rule-proposal/ 2022-02-04T20:07:16+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-19-17-protecting-investors-from-misconduct/ 2022-02-04T20:07:54+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-new-jersey-bureau-of-securities-regarding-fiduciary-duty-rule-proposal/ 2022-02-04T20:14:54+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-federal-trade-commission-regarding-ftc-franchise-rule-proposal-revisions/ 2022-02-04T20:35:30+00:00 https://www.nasaa.org/comment-letters/nasaa-supplemental-comment-letter-to-sec-regarding-proposed-regulation-best-interest-and-related-rulemakings-file-no-s7-07-18/ 2022-02-04T20:36:37+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-nevada-division-of-securities-regarding-its-draft-regulations-in-response-to-nevada-senate-bill-no-383/ 2022-02-04T21:25:37+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-proposed-regulation-best-interest-and-related-rulemakings-file-no-s7-07-18-2/ 2022-02-04T21:26:47+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-division-of-corporation-finance-opposing-mandatory-arbitration-shareholder-proposal/ 2022-02-04T21:27:33+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-18-26-continuing-education-program/ 2022-02-04T21:47:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-proposed-regulation-best-interest-and-related-rulemakings-file-no-s7-07-18/ 2022-02-04T21:48:49+00:00 https://www.nasaa.org/comment-letters/nasaa-initial-comment-letter-to-sec-regarding-proposed-regulation-best-interest-and-related-rulemakings-file-no-s7-07-18/ 2022-02-28T18:38:55+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-18-16-high-risk-brokers/ 2022-02-28T18:40:02+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-18-13-quantitative-suitability/ 2022-02-28T18:40:42+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-18-08-outside-business-activities-private-securities-transactions/ 2022-02-28T18:44:58+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-18-06-membership-application-program-proposed-amendments-to-incentivize-payment-of-arbitration-awards/ 2022-02-28T18:47:49+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-17-42-proposed-amendments-to-the-codes-of-arbitration-procedure-relating-to-requests-to-expunge-customer-dispute-information/ 2022-02-28T18:49:00+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-17-33-arbitration-procedures/ 2022-02-28T18:51:28+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-capital-formation-and-corporation-financing-rules/ 2022-02-28T18:59:33+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-outside-business-activities-and-private-securities-transaction-rules/ 2022-02-28T19:02:45+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-finras-request-for-comments-about-potential-enhancements-to-its-engagement-programs/ 2022-02-28T19:03:31+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-finra-proposal-to-restructure-representative-level-qualification-exams-and-amend-continuing-education-requirements/ 2022-02-28T19:05:03+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-17-06-communications-with-the-public/ 2022-02-28T19:05:46+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-department-of-labor-regarding-the-proposed-extension-of-applicability-of-the-departments-conflict-of-interest-rule-and-related-rulemakings/ 2022-02-28T19:09:31+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-sec-regarding-finra-release-no-34-79215-file-no-sr-finra-2016-039-entitled-notice-of-filing-of-a-proposed-rule-change-to-amend-rule-4512-customer-account-information-and-ado/ 2022-02-28T19:10:33+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-sec-regarding-nyse-mkt-rule-proposal-to-amend-form-u5-filing-deadline/ 2022-02-28T19:11:35+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-on-finra-regulatory-notice-16-29-gifts-gratuities-and-non-cash-compensation-rules/ 2022-02-28T19:12:15+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-investment-adviser-business-continuity-and-transition-plans-rule-proposal/ 2022-02-28T19:12:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-sec-regarding-nyse-mkt-rule-proposal-to-amend-form-u5-filing-deadline-2/ 2022-02-28T19:13:46+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-4-692-secs-report-on-the-review-of-the-definition-of-accredited-investor/ 2022-02-28T19:14:33+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-finras-proposed-rule-change-to-adopt-finra-rule-2030-and-finra-rule-4580-to-establish-pay-to-play-and-related-rules/ 2022-03-03T13:55:21+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-sec-regarding-finra-proposed-rule-change-to-adopt-the-capital-acquisition-broker-rules/ 2022-03-03T13:56:25+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-proposed-rule-amendments-to-facilitate-intrastate-and-regional-securities-offerings/ 2022-03-03T13:57:07+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-finra-regarding-finra-regulatory-notice-15-37-financial-exploitation-of-seniors-and-other-vulnerable-adults/ 2022-03-03T13:57:59+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-sec-regarding-filing-of-a-proposed-rule-change-to-adopt-the-funding-portal-rules-and-related-forms-and-finra-rule-5418/ 2022-03-03T14:00:10+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-fincen-regarding-anti-money-laundering-program-and-suspicious-activity-report-filing-requirements-for-registered-investment-advisers/ 2022-03-03T14:01:59+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-the-department-of-labor-regarding-its-proposed-rulemaking-defining-the-term-fiduciary/ 2022-03-03T14:04:15+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-u-s-department-of-treasury-on-expanding-access-to-credit-through-online-marketplace-lending/ 2022-03-03T14:04:58+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-the-department-of-labor-regarding-its-proposed-rulemaking-defining-the-term-fiduciary-2/ 2022-03-03T14:06:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-dispute-resolution-task-force-on-expungement-of-matters-from-central-registration-depository-crd/ 2022-03-03T14:07:44+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-amendments-to-form-adv-and-investment-advisers-act-rules-release-no-ia-4091-file-no-s7-09-15/ 2022-03-03T14:09:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-the-regarding-the-proposed-rule-change-to-amend-finra-rule-2210-communications-with-the-public/ 2022-03-03T14:10:58+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-framework-for-rulemaking-under-section-913-of-the-dodd-frank-act-duties-of-brokers-dealers-and-investment-advisers-file-no-4-606/ 2022-03-03T14:11:41+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-finra-regulatory-notice-15-19-a-proposed-rule-requiring-delivery-of-an-educational-communication-to-customers-of-transferring-registered-representatives/ 2022-03-03T14:14:37+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-release-34-74488-finras-amended-proposal-regarding-equity-research-analysts/ 2022-03-03T14:16:28+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-release-34-74490-finras-amended-proposal-regarding-debt-research-analysts/ 2022-03-03T14:17:09+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-finra-dispute-resolution-task-force-on-finra-arbitration/ 2022-03-03T14:17:50+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-updating-the-commission-on-the-implementation-and-progress-of-the-nasaa-coordinated-review-program-for-regulation-a-offerings/ 2022-03-03T14:19:02+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-release-no-34-73622-finras-proposed-rule-regarding-equity-research-analysts-2/ 2022-03-03T14:20:17+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-in-response-to-regulatory-notice-14-50-proposed-pay-to-play-rules/ 2022-03-18T16:01:49+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-release-no-34-73277-file-number-sr-finra-2014-028-relating-to-definition-of-public-and-non-public-arbitrators/ 2022-03-18T16:02:47+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-14-35-account-statements/ 2022-03-18T16:03:33+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-release-no-34-73238-file-number-sr-finra-2014-038/ 2022-03-18T16:08:10+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-in-response-to-proposed-rule-change-sr-finra-2014-006-affecting-nasd-rule-2340-and-finra-rule-2310/ 2022-03-18T16:08:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-release-no-34-72196-file-no-sr-finra-2014-005/ 2022-03-18T16:10:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-in-response-to-regulatory-notice-14-19/ 2022-03-18T16:11:40+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-investment-company-advertising-target-date-retirement-fund-names-and-marketing/ 2022-03-18T16:12:20+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-sec-release-no-34-71959-file-no-sr-finra-2014-020-notice-of-filing-of-a-proposed-rule-change-to-adopt-finra-rule-2081-prohibited-conditions-relating/ 2022-03-18T16:13:02+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-regulation-a-rulemaking/ 2022-03-18T16:14:18+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-comprehensive-automated-risk-data-system-regulatory-notice-13-42/ 2022-04-04T20:16:58+00:00 https://www.nasaa.org/comment-letters/nasaa-leadership-letter-to-sec-objecting-to-state-preemption-of-reg-a-offerings/ 2022-04-04T20:19:00+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-regulation-crowdfunding/ 2022-04-04T20:20:27+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-on-proposed-funding-portal-rules/ 2022-04-12T20:03:34+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-finra-proposal-to-expand-the-categories-of-civil-judicial-disclosures-permanently-included-in-brokercheck/ 2022-04-12T20:05:26+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-regulation-a/ 2022-04-12T20:07:14+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-34-706012-file-no-sr-finra-2013-025-concerning-finras-proposed-changes-to-its-supervision-rules/ 2022-04-12T20:07:54+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-the-proposed-amendments-to-regulation-d-form-d-and-rule-156/ 2022-04-12T20:08:40+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-the-proposed-rule-change-to-adopt-rules-regarding-supervision-in-the-consolidated-finra-rulebook-release-no-34-69902-file-no-sr-finra-2013-025/ 2022-04-12T20:09:41+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-framework-for-rulemaking-under-section-913-of-the-dodd-frank-act-duties-of-brokers-dealers-and-investment-advisers-file-no-4-606-2/ 2022-04-12T20:10:36+00:00 https://www.nasaa.org/comment-letters/joint-letter-to-sec-chairman-mary-jo-white-concerning-file-number-4-606-duties-of-brokers-dealers-and-investment-advisers/ 2022-04-12T20:11:50+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-sec-on-arbitration-and-class-action-waivers/ 2022-04-12T20:12:34+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-on-sec-regulatory-initiatives-under-the-jumpstart-our-business-startups-act-title-iv-small-company-capital-formation/ 2022-05-05T20:37:29+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-re-finra-rule-proposal-13-02-request-for-comment-on-recruitment-compensation-practices/ 2022-05-05T20:41:16+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-release-no-34-68700-file-number-sr-finra-2013-002-a-proposal-to-require-all-member-firms-and-associated-persons-to-include-a-prominent-description-of-and-l/ 2022-05-06T18:37:46+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-eliminating-the-prohibition-against-general-solicitation-and-general-advertising-in-rule-506-and-rule-144a/ 2022-05-06T18:41:45+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-cfpb-regarding-senior-financial-exploitation/ 2022-05-06T18:45:10+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-regulation-d-rule-506-and-general-solicitation/ 2022-05-06T18:49:56+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-in-response-to-regulatory-notice-12-10/ 2022-05-13T19:26:21+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-in-response-to-finras-partial-amendment-of-sr-finra-2011-057-release-no-34-66203/ 2022-05-13T19:27:55+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-in-response-to-regulatory-notice-12-14/ 2022-05-13T19:28:41+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-disqualification-of-felons-and-other-bad-actors-from-rule-506-offerings-release-no-33-9211-file-no-s7-21-11/ 2022-05-13T19:31:58+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-release-no-ia-3198-file-no-s7-17-11-on-investment-adviser-performance-compensation/ 2022-05-13T19:32:56+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-in-response-to-the-section-917-study-of-effective-existing-investor-education-programs-file-number-4-626-release-number-34-64306/ 2022-05-13T19:33:39+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-in-response-to-finras-proposal-to-implement-a-registration-requirement-for-operations-professionals-sec-file-number-sr-finra-2011-013/ 2022-05-13T19:36:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-department-of-labor-regarding-proposed-rule-modernization-of-the-definition-of-a-fiduciary-under-erisa-release-no-rin-1210-ab32/ 2022-05-13T19:37:37+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-markups-commissions-and-fees-finra-regulatory-notice-11-08/ 2022-05-13T20:23:11+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-permanent-rule-for-registration-of-municipal-advisors-sec-file-number-s7-45-10-release-no-34-63576/ 2022-05-13T20:23:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-net-worth-standard-for-accredited-investors-release-nos-33-9177-ia-3144-ic-29572-file-no-s7-04-11/ 2022-05-13T20:24:35+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-in-response-to-release-no-ia-3110-file-no-s7-36-10-and-release-no-ia-3111-file-no-s7-37-10/ 2022-05-31T19:06:18+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-sec-study-on-enhancing-investment-adviser-examinations-under-section-914-of-the-dodd-frank-wall-street-reform-and-consumer-protection-act-of-2010/ 2022-05-31T19:06:56+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-adding-disqualification-requirements-to-regulation-d-offerings-title-ix-provisions-of-the-dodd-frank-wall-street-reform-and-consumer-protection-act-file-no-df/ 2022-05-31T19:08:23+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-accredited-investor-standard-title-iv-provisions-of-the-dodd-frank-wall-street-reform-and-consumer-protection-act-file-no-df-title-iv-accredited-inve/ 2022-05-31T19:09:51+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-on-release-no-34-62718-file-no-sr-finra-2010-039/ 2022-05-31T19:18:30+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-finra-proposal-to-amend-the-discovery-guide-used-in-finra-arbitrations/ 2022-05-31T19:20:52+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-target-date-retirement-fund-names-and-marketing/ 2022-05-31T19:21:46+00:00 https://www.nasaa.org/comment-letters/registration-and-qualification-requirements-for-certain-operations-personnel/ 2022-05-31T19:27:24+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-sec-regarding-application-for-investment-adviser-registration-part-2-form-adv-part-2/ 2022-05-31T19:32:00+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-comments-to-securities-exchange-act-release-no-60999-file-no-sr-finra-2009-077/ 2022-05-31T19:35:01+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-09-70-regstration-and-qualification-requirements/ 2022-05-31T19:36:59+00:00 https://www.nasaa.org/comment-letters/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/ 2022-05-31T19:38:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-proposed-amendments-governing-payments-to-unregistered-persons-regulatory-notice-09-69/ 2022-05-31T19:42:45+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-amendments-to-dark-pools-release-no-34-60997-file-no-s7-27-09/ 2022-05-31T19:47:53+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-proposed-amendment-to-finra-rule-8312-expanding-the-scope-of-finras-public-disclosure-system-brokercheck/ 2022-05-31T19:50:28+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-proposed-rule-change-petition-submitted-by-the-public-investors-arbitration-bar-association-piaba/ 2022-11-17T16:14:25+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-on-release-no-ia-2876-file-no-s7-09-09-custody-of-funds-or-securities-of-clients-by-investment-advisers/ 2022-11-17T16:18:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-regulation-s-p-privacy-of-consumer-financial-information-and-safeguarding-personal-information-file-no-s7-06-08/ 2022-11-17T16:26:07+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-on-the-secs-proposed-rule-that-would-subject-certain-equity-indexed-annuities-to-regulation-under-the-federal-securities-laws/ 2022-11-17T16:28:25+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-proposed-rule-and-form-amendments-to-part-2-of-form-adv/ 2022-11-17T16:29:18+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-on-finra-proposed-rule-change-relating-to-amendments-to-the-codes-of-arbitration-procedure-to-establish-new-procedures-for-arbitrators-to-follow-when-considering-requests-for-expungement/ 2022-11-17T16:33:19+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-release-no-34-57525-file-no-sr-finra-2008-005-notice-of-filing-of-proposed-rule-change-relating-to-amendments-to-the-codes-of-arbitration-procedure-to-permit-submiss/ 2022-11-17T16:40:01+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-treasury-department-review-of-the-regulatory-structure-associated-with-financial-institutions/ 2022-11-17T16:43:18+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-revisions-of-limited-offering-exemptions-in-regulation-d-release-no-33-9928-ic-27922-file-no-s7-18-07/ 2022-11-17T16:46:15+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-revisions-to-rule-144-and-rule-145-to-shorten-holding-period-for-affiliates-and-non-affiliates-for-resales-of-restricted-securities/ 2022-11-17T16:48:17+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-smaller-reporting-company-relief-and-simplification-file-no-s7-15-07/ 2022-11-17T16:49:07+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-proposed-revisions-to-form-d-and-the-implementation-of-an-electronic-filing-system-for-form-d-as-discussed-in-release-nos-33-8814-and-34-2466/ 2022-11-17T16:49:58+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-sec-regarding-sec-roundtable-discussion-regarding-mutual-recognition/ 2022-11-17T17:56:01+00:00 https://www.nasaa.org/comment-letters/joint-letter-to-sec-chairman-cox-from-nasaa-consumer-federation-of-america-fund-democracy-the-financial-planning-association-the-investment-adviser-association-and-the-national-association-of-per/ 2022-11-17T18:01:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-file-no-s7-22-06-proposed-regulation-r/ 2022-11-17T18:54:19+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-nasds-notice-to-members-07-12/ 2022-11-17T20:46:38+00:00 https://www.nasaa.org/comment-letters/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/ 2022-11-21T20:56:38+00:00 https://www.nasaa.org/comment-letters/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/ 2022-11-21T21:06:31+00:00 https://www.nasaa.org/comment-letters/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/ 2022-11-21T21:07:14+00:00 https://www.nasaa.org/comment-letters/nasaa-comments-on-amendments-to-regulation-sho/ 2022-11-21T21:14:30+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-sec-regarding-proposed-regulation-b/ 2022-11-21T21:15:20+00:00 https://www.nasaa.org/comment-letters/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/ 2022-11-21T21:17:03+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-msrb-regarding-customer-protection-obligations-relating-to-the-marketing-of-529-college-savings-plans-proposed-intrepretive-guidance/ 2022-11-21T21:17:44+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-nasdaq-petition-to-amend-rule-146b-to-designate-securities-listed-on-the-nasdaq-capital-market-as-covered-securities-for-the-purpose-of-section-18-of-the-securities-act-of-19/ 2022-11-21T21:18:30+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-on-proposed-rule-governing-purchase-sale-or-exchange-of-deferred-variable-annuities/ 2022-11-21T21:19:09+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-on-nasd-proposed-rule-change-to-require-written-explanations-in-arbitration-awards-upon-the-request-of-customers-or-associated-persons/ 2022-11-21T21:19:51+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-on-proposed-uniform-branch-office-registration-form-form-br-release-no-34-51742-file-no-sr-nasd-2005-30/ 2022-11-21T21:23:21+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-ftc-regarding-the-franchise-rule-staff-report-on-the-ftcs-trade-regulation-rule-on-disclosure-requirements-and-prohibitions-concerning-franchising/ 2022-11-21T21:24:07+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-on-sec-proposal-to-require-registration-of-hedge-fund-advisers/ 2022-12-05T17:32:36+00:00 https://www.nasaa.org/comment-letters/further-nasaa-comment-to-the-sec-regarding-its-proposed-rule-on-when-certain-broker-dealers-are-deemed-not-to-be-investment-advisers/ 2022-12-05T18:39:29+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-nasd-regarding-proposed-rule-governing-the-purchase-sale-or-exchange-of-deferred-variable-annuities/ 2022-12-05T18:40:20+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-sec-regarding-the-use-of-forms-s-8-and-8-k-by-shell-companies/ 2022-12-05T18:41:02+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-sec-regarding-disclosures-of-portfolio-managers-of-registered-management-investment-companies/ 2022-12-05T18:44:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-mutual-fund-12b-1-fees/ 2022-12-05T18:45:08+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-redemption-fees/ 2022-12-05T18:52:43+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-regarding-the-secs-proposal-to-require-mutual-funds-to-disclose-their-reasons-for-selecting-investment-advisers/ 2022-12-05T19:02:54+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-regarding-the-secs-proposed-rules-to-facilitate-shareholder-nominations-to-corporate-boards/ 2022-12-05T19:07:35+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-to-the-sec-regarding-simplification-and-clarification-of-consumer-privacy-notices-mandated-by-glba/ 2022-12-05T19:08:08+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-regarding-the-secs-proposal-to-require-investment-advisers-to-adopt-a-written-code-of-ethics/ 2022-12-05T19:10:32+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-proposed-amendments-to-nasd-rules-2710-corporate-financing-and-2810-direct-participation-programs/ 2022-12-05T19:11:29+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-proposed-sec-rule-to-change-the-composition-of-mutual-fund-boards-of-directors/ 2022-12-05T19:18:30+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-regarding-the-secs-concept-release-on-measures-to-improve-disclosure-of-mutual-fund-transaction-costs/ 2022-12-05T19:29:05+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-proposed-sec-mutual-fund-breakpoint-disclosure-rule/ 2022-12-05T19:31:44+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-file-no-sr-nasd-2004-05-proposed-amendment-to-nasd-rule-2370-agents-borrowing-or-lending-money-from-customers/ 2022-12-05T19:34:50+00:00 https://www.nasaa.org/comment-letters/comment-letter-to-the-department-of-labor-regarding-erisa-investment-manager-use-of-iard/ 2022-12-05T19:35:32+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sba-regarding-affiliation-and-lending-criteria-for-the-sba-business-loan-programs-13-c-f-r-parts-120-and-121/ 2022-12-16T17:49:05+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-s7-25-22-outsourcing-by-investment-advisers/ 2022-12-28T14:44:02+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sr-finra-2022-021/ 2023-01-24T18:10:31+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2022-024-proposed-revisions-to-the-expungement-process/ 2023-01-24T18:19:23+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2022-019-residential-supervisory-location/ 2023-01-24T18:25:24+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2022-015-finra-brokercheck-disclosure-to-release-information-on-brokercheck-relating-to-firm-designation-as-a-restricted-firm/ 2023-01-24T19:37:46+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-34-95267/ 2023-01-24T19:59:31+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sr-finra-2022-024/ 2023-01-24T20:02:08+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-release-no-34-95452-and-release-no-34-95379/ 2023-01-24T20:11:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2022-021-remote-inspections-pilot-program/ 2023-01-24T20:20:38+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-fund-names-and-investment-company-investment-adviser-disclosure-about-their-use-of-esg-factors/ 2023-01-24T20:26:29+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-office-of-financial-institutions-policy-regarding-executive-order-no-14067/ 2023-01-24T21:09:50+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-33-11048/ 2023-01-24T21:12:51+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-finra-regulatory-notice-22-09/ 2023-01-24T21:17:51+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-finra-reg-notice-22-08/ 2023-01-24T21:18:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-public-company-cybersecurity-risk-management-disclosures/ 2023-01-26T18:41:13+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-proposed-rules-for-private-fund-advisers/ 2023-01-26T19:08:01+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-33-11028/ 2023-01-26T19:18:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-rule-10b5-1-and-insider-trading-proposal/ 2023-01-26T19:26:46+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-share-repurchase-disclosure-proposal/ 2023-01-26T19:27:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-re-finra-reg-notice-21-43/ 2023-01-26T19:29:10+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-in-support-of-proposed-amendments-to-the-proxy-solicitation-rules/ 2023-01-26T19:35:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-department-of-labor-supporting-esg-rule-proposal/ 2023-01-26T19:37:32+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-finra-reg-notice-21-35/ 2023-01-26T19:38:27+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-digital-engagement-practices-and-investment-adviser-use-of-technology/ 2023-01-26T19:44:17+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-supporting-increased-short-interest-disclosure/ 2023-01-26T19:45:15+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-to-amend-finra-rules-1210-and-1240-which-focused-on-continuing-education-programs/ 2023-02-01T15:33:06+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-supporting-diversity-and-inclusion-in-the-broker-dealer-industry/ 2023-02-01T15:34:29+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-climate-change-disclosures/ 2023-02-01T15:35:13+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-rule-144-amendments/ 2023-02-01T15:44:50+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-finra-regulatory-notice-20-42-retrospective-rule-review-lessons-from-the-covid-19-pandemic/ 2023-02-01T15:45:32+00:00 https://www.nasaa.org/comment-letters/nasaa-additional-comment-letter-to-sec-regarding-file-number-sr-finra-2020-030-proposed-revisions-to-the-expungement-process/ 2023-02-01T15:47:28+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-sr-finra-2020-030-amendment-no-1/ 2023-02-01T15:48:53+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-proposed-amendments-to-mutual-fund-disclosure-standards/ 2023-02-01T15:49:38+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-rroposed-rule-change-to-adopt-finra-rule-4111-restricted-firm-obligations-and-finra-rule-9561-procedures-for-regulating-activities-under-rule-4111/ 2023-02-01T15:50:30+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-notice-20-34-senior-investors-proposed-amendments-to-finra-rule-2165-and-retrospective-rule-report/ 2023-02-01T16:55:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-proposed-amendments-to-finra-rules-5122-private-placements-of-securities-issued-by-members-and-5123-private-placements-of-securities/ 2023-02-01T16:55:51+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-qualification-exams-rules-of-conduct-registration-requirements-and-eligibility-rules/ 2023-02-01T16:56:37+00:00 https://www.nasaa.org/comment-letters/letter-from-30-state-securities-administrators-to-sec-regarding-proposed-federal-bd-exemption-for-private-placement-finders/ 2023-02-01T16:57:18+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-proposed-conditional-exemption-from-broker-registration-requirements-for-certain-activities-of-finders/ 2023-02-01T17:05:10+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-finras-2020-030-expungement-proposal/ 2023-02-01T17:05:52+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-opposing-proposed-dol-regulation-of-investment-advice-fiduciaries/ 2023-02-01T17:06:33+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-the-sec-regarding-proposed-rule-change-to-adopt-finra-rule-3241/ 2023-02-01T19:34:06+00:00 https://www.nasaa.org/comment-letters/nasaa-letter-to-finra-regarding-regulatory-notice-20-05-continuing-education-program-transformation/ 2023-02-01T19:34:58+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-in-response-to-sec-proposal-on-harmonization-of-the-exempt-securities-offering-framework/ 2023-02-01T19:37:42+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-proposed-regulation-s-k-amendments/ 2023-02-01T19:38:33+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-on-sec-proposal-regarding-the-use-of-derivatives-by-registered-investment-companies-and-business-development-companies-required-due-diligence/ 2023-02-01T19:50:49+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-proposed-amendments-to-finra-expungement-process/ 2023-02-01T19:53:51+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-accredited-investor-rule-proposal/ 2023-02-01T19:55:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-proposed-investment-adviser-advertising-and-solicitation-rules/ 2023-02-01T20:27:27+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-proposed-amendments-to-the-proxy-solicitation-rules/ 2023-02-01T20:28:14+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-19-36-registered-person-being-named-a-customers-beneficiary-or-holding-a-position-of-trust-for-a-customer/ 2023-02-01T20:32:20+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-massachusetts-regarding-state-fiduciary-duty-rule-proposal/ 2023-02-01T20:33:09+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-ostp-regarding-request-for-information-digital-assets-research-and-development/ 2023-03-07T14:56:59+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-private-market-reforms/ 2023-03-08T15:51:16+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-nos-s7-29-22-s7-30-22-s7-31-22-and-s7-32-22-related-to-regulation-best-execution-and-other-market-structure-proposals/ 2023-03-31T15:34:19+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-federal-trade-commission-regarding-matter-no-201200-non-compete-clause-rulemaking/ 2023-04-18T19:55:49+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2023-006-residential-supervisory-location/ 2023-04-27T16:53:26+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-s7-04-23-safeguarding-advisory-client-assets/ 2023-05-08T20:40:58+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-nos-s7-05-23-s7-06-23-s7-04-22-regulation-s-p-and-cybersecurity-risk-management-proposals/ 2023-05-22T19:39:54+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2023-007-remote-inspections-pilot-program/ 2023-05-26T14:10:22+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-federal-trade-commission-regarding-request-for-information-solicitation-for-public-comments-on-provisions-of-franchise-agreements-and-franchisor-business-practices-docket/ 2023-06-08T17:01:14+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2023-006-residential-supervisory-location-2/ 2023-07-31T20:22:01+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2023-007-remote-inspections-pilot-program-2/ 2023-08-29T18:32:44+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-proposed-enhancements-to-the-broker-dealer-customer-protection-rule-s7-11-23/ 2023-09-11T23:32:39+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-s7-13-23-exemptions-for-certain-internet-investment-advisers/ 2023-10-02T15:24:03+00:00 https://www.nasaa.org/comment-letters/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/ 2023-10-12T18:30:55+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-pcaob-rulemaking-no-053-liability-for-associated-persons-who-contribute-to-a-primary-pcaob-rule-violation/ 2023-11-13T16:27:18+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-dol-regarding-retirement-security-rule-definition-of-an-investment-advice-fiduciary/ 2024-01-03T14:05:42+00:00 https://www.nasaa.org/comment-letters/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/ 2024-02-15T20:39:22+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-pcaob-rulemaking-no-054-false-or-misleading-statements-concerning-pcaob-registration-and-oversight/ 2024-04-09T13:54:00+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-fincen-2024-0006-anti-money-laundering-proposal-for-sec-investment-advisers/ 2024-04-15T20:38:45+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-pcaob-regarding-rulemaking-docket-matter-no-055-firm-reporting/ 2024-06-07T15:55:42+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-s7-2024-02-and-fincen-2024-0011-customer-identification-programs-for-registered-investment-advisers-and-exempt-reporting-advisers/ 2024-07-22T14:49:20+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2024-022-proposed-changes-to-finras-arbitration-codes-regarding-arbitrator-selection/ 2025-01-29T20:26:45+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-24-13-retrospective-rule-review-day-trading/ 2025-01-29T20:26:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-25-05-outside-activities/ 2025-05-15T18:52:02+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-25-04-rule-modernization-and-regulatory-notice-25-06-supporting-capital-formation/ 2025-06-12T13:51:47+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-file-no-s7-5-99-publication-or-submission-of-quotations-without-specified-information-june-7-1999/ 2025-07-02T19:40:00+00:00 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https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-sec-regarding-release-no-34-72479-file-number-sr-finra-2014-026-relation-to-the-increase-of-arbitrator-honoraria-and-the-increase-of-certain-arbitration-fees/ 2025-07-02T19:48:40+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-release-no-34-68632-file-no-sr-finra-2013-003-on-the-proposal-to-revise-the-definition-of-public-arbitrator/ 2025-07-02T19:50:36+00:00 https://www.nasaa.org/comment-letters/initial-nasaa-comments-to-sec-re-jobs-act-rulemaking/ 2025-07-02T19:52:39+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-cfpb-in-response-to-docket-no-cfpb-2012-0017-request-for-information-regarding-scope-methods-and-data-sources-for-conducting-study-of-pre-dispute-arbitration-agreements/ 2025-07-02T19:53:57+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-in-response-to-regulatory-notice-12-18/ 2025-07-02T19:55:15+00:00 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https://www.nasaa.org/comment-letters/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/ 2026-03-10T19:24:32+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-sr-finra-2026-004-proposed-amendments-to-finra-rule-2210/ 2026-03-18T19:39:07+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-regarding-sec-release-no-ia-6083/ 2026-04-24T19:52:46+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-regulatory-notice-26-06-arbitration/ 2026-05-04T13:42:04+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-finra-regarding-social-media-influenced-investing-report/ 2026-05-14T13:01:51+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-pcaob-regarding-the-pcaobs-next-strategic-plan/ 2026-05-18T13:13:19+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-s7-2026-08-publication-or-submission-of-quotations-without-specified-information/ 2026-05-19T14:09:06+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-dol-regarding-fiduciary-duties-in-selecting-designated-investment-alternatives/ 2026-06-05T13:28:17+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-s7-2026-15-semiannual-reporting/ 2026-07-07T18:23:56+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-s7-2026-18-enhancement-of-emerging-growth-company-accommodations-and-simplification-of-filer-status-for-reporting-companies/ 2026-07-23T16:08:03+00:00 https://www.nasaa.org/comment-letters/nasaa-comment-letter-to-the-sec-regarding-file-no-s7-2026-17-registered-offering-reform/ 2026-07-29T14:57:36+00:00